Who this helps
- - Fund managers
- - Capital raising teams
- - Fintech founders
Marketing is part of the licence analysis
Many businesses analyse the service but forget the marketing path. Websites, social posts, decks, webinars, introducers, newsletters, app flows, and referral fees can all affect licensing questions.
Cross-border marketing is especially fact-sensitive. User location, targeting, language, compensation, investor type, and follow-up all matter.
Private does not mean unregulated
Private placement or professional-only strategies still need controls. The firm should record who can receive materials, who approves them, what jurisdictions are blocked, and what happens when a prospect forwards the deck.
Reverse enquiry should not be used as a magic phrase. Document the facts and ask advisers to test them.
Practical checklist
- - Map each marketing channel by jurisdiction and client type.
- - Approve materials before distribution.
- - Document introducer and compensation arrangements.
Disclaimer
Information on LicenseCompare is for general educational purposes only and does not constitute legal, regulatory, financial, tax, investment, or professional advice. Licensing requirements depend on facts and change over time. Always consult official regulator materials and qualified professional advisers.