Startup Law · Startup Operations

What are the necessary documentation needed when starting up a trading company?

Chipasha Mukonkami Entrepreneur, Project Manager, Digital Marketer and Forex Trader

July 10th, 2019

Is providing an online service just enough?

Ashit Vora Software Engineer, Working as a consultant for past 9 years, Interested in solving real problems

July 11th, 2019

Are you referring to stock/forex/commodities/crypto trading?

These rules differ from country to country.

Can you be more specific?

Paul Garcia marketing exec & business coach

July 11th, 2019

This is really a question for a trade association like FINRA, not a bunch of entrepreneurs who aren't stock traders. You must be registered with the commission that regulates the exchange in which you will be dealing. You will also need a business license. And you may need to have a certification or license from another governmental regulatory body, depending on which country(ies) are involved in trading.


As far as documentation you must show or keep, that varies by country and trading floor, but it is very specific. Trading online is another hurdle beyond just trading. If you're already a Forex trader as it says in your profile, you should know many of the rules. Not only do you need documentation, but also documented mechanisms to prevent money laundering, fraud, etcetera.

Anton Hughes Tech and experienced lean fintech startup

July 10th, 2019

What exacty will you be trading?

Mr. Kelly Johnson Looking for Co-founder

July 11th, 2019

"Trading Company" can mean many different things. In my industry, it is someone who acts as a middle man between a factory that manufactures products and a Business that wants to buy those products to resell.

So, need to be more clear.