License Requirements Professionals Many financial market professionals require a license in order to do business. This page covers license details and obligations for all licensees. Auditors Authorised financial advisers Brokers Crowdfunding platforms Derivatives issuers Discretionary investment management services (DIMS) Independent trustees Managed investment scheme (MIS) managers Market operators Peer-to-peer lending providers Qualifying financial entities (QFEs) Registered … Continue reading License Requirements Professionals