Compliance
Code 1.8 FSP License Broker
AS Brokers CC operates under the Financial Sector Conduct Authority (FSCA) as an independent authorised financial services provider. Our specific license category 1.8 (Securities and Instruments: Shares) permits us to advise on and intermediate unlisted shares, a capability that standard Category I or II brokers often do not hold.
What Category 1.8 means
The FSCA designates Category 1.8 for "Securities and Instruments: Shares". This classification requires meeting experience and qualification standards and allows the holder to distribute unlisted preference shares and related alternative investment products. Everest Wealth Management (FSP 795) structures such products; AS Brokers CC (FSP 17273) is authorised to advise on and distribute them to qualifying clients.
This capacity is central to our offering: fixed-return and living annuity solutions that fall outside traditional unit trust or life assurance wrappers.
Regulatory identifiers
- AS Brokers CC: FSP 17273 · Category 1.8
- Everest Wealth Management: FSP 795 · Category I, II & IIA