Discretionary Account Management
Type 9 — Asset Management
At RGSL, our Type 9 licence issued by the Securities and Futures Commission (SFC) authorises us to manage investment portfolios on a discretionary basis.
What “Discretionary Basis” Means
Managing portfolios on a discretionary basis means clients entrust us with the authority to make day‑to‑day investment decisions — without needing to seek their prior approval for every transaction. This allows us to:
- Act swiftly on market opportunities
- Adjust allocations in response to market movements or macro events
- Maintain alignment with the agreed investment strategy and risk profile at all times
Scope of Activities Covered
Under our Type 9 licence, we can:
- Manage discretionary acounts, segregated mandates, and family office portfolios
- Oversee portfolios containing equities, fixed income, derivatives, ETFs, and alternative assets
- Implement multi‑asset and thematic strategies to capture growth and income opportunities
- Manage portfolios containing regulated virtual assets
How This Benefits Our Clients
- Agility – We can respond in real‑time to market shifts
- Professional Oversight – Portfolios are managed by experienced investment professionals with deep market knowledge
- Tailored Strategies – Portfolios are built and managed according to each client’s goals, time horizon, and risk tolerance
- Regulated Standards – Our operations meet stringent SFC requirements, providing governance, transparency, and investor protection
Our Commitment
Holding a Type 9 licence underscores our dedication to:
- Fiduciary Responsibility – Acting in the best interest of our clients at all times
- Risk Management – Employing robust risk controls and compliance frameworks
- Transparency – Providing clear reporting and maintaining open communication with clients
- Performance Focus – Striving to achieve the investment outcomes agreed in advance