derivatives

Funds management

UK fund manager opens to Aussie investors

A UK investment manager specialising in derivatives-based strategies has made one of its funds open to professional Australian investors. ...

People & Products

ASIC bans ‘disinterested and disengaged’ responsible manager

The former responsible manager of over the counter derivatives provider, Sirius Financial Markets, has been banned by ASIC for eight years....

Funds management

BNP Paribas Securities Services expands initial margin services

The expansion will help financial institutions in Asia Pacific to manage initial margin requirements that are gradually coming into force. ...

Policy & Regulation

Illegal Chinese activity lands derivatives provider in court

The corporate regulator has commenced proceedings against Sydney-based derivatives provider Union Standard International Group over illegal Chinese activities....

Policy & Regulation

ASIC cancels account manager over CFD sales

Steven Marsh has been banned by the Australian Securities and Investments Commission for providing financial services for three years after making misleading representati...

Policy & Regulation

ASIC cancels OTC issuer's AFS licence

The corporate regulator has cancelled the Australian financial services licence of retail over-the-counter derivative issuer Forex Capital Trading after clients incurred ...

Funds management

AMP Life and AMP Capital fined

AMP Life and AMP Capital have been fined $275,500 and $250,500 respectively, in relation to trade reporting rules....

Policy & Regulation

ASIC issues retail OTC warning

The Australian Securities and Investments Commission has issued another clear warning to retail Over the Counter derivatives traders about the limitations of their licens...

Policy & Regulation

ASIC slaps 8-year ban on former director of derivatives issuer

The securities regulator has banned Yossef Ashkenazi of Victoria from providing financial services for a period of eight years....

Financial planning

ASIC calls on OTC derivatives sector to improve practices

The Australian Securities and Investments Commission has called on the retail over-the-counter derivatives sector to improve its practices....

Policy & Regulation

Adviser banned for four years for derivatives manipulation

The securities regulator has banned Mark Menzies from providing advice for four years following an investigation which found he had manipulated the price of 'MINI' warran...

Policy & Regulation

ASIC places restrictions on OTC derivatives dealers

The regulator has placed significant restrictions upon AFS licence holders that hold client money for trading in over-the-counter (OTC) derivatives....

Policy & Regulation

ASIC makes a sporting decision

Spread betting may have the characteristics of a derivative, but the Australian Securities and Investment Commission has taken a punt on spread bets not being financial p...

Tools & guides

Beyond speculation: using derivatives in diversified portfolios

Daniel Park examines how derivatives can play many roles in risk management and return creation despite being under the microscope in recent times....