OTC

Funds management

The majority of asset managers are unprepared to comply with the Uncleared Margin Rules aimed to reform the over-the-counter derivatives market after the global financial...

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Policy & Regulation

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

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Policy & Regulation

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

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Policy & Regulation

Australian financial services licensees that offer over-the-counter derivatives to retail investors overseas might be breaking overseas laws....

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Financial planning

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

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Funds management

Unlicensed conduct by OTC derivative providers has dramatically increased, and ASIC has clamped down on 40 unlicensed providers. ...

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Funds management

ASIC has identified serious non-compliance issues and significant failures in the retail OTC derivatives industry....

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MARKET INSIGHTS

So we are now underwriting criminal scams?...

2 months 3 weeks ago

Glad to see the back of you Steve. You made financial more expensive, not more affordable as you claim, and presided ...

2 months 3 weeks ago

Completely agree Peter. The definition of 'significant change is circumstances relevant to the scope of the advice' is s...

4 months 4 weeks ago

ASIC has suspended the Australian Financial Services Licence of a Melbourne-based financial advice firm....

1 week 4 days ago

The corporate regulator has issued infringement notices to three AFSLs whose financial advisers provided personal advice to a retail client while unregistered....

2 weeks 2 days ago

ASIC has released the results of its first adviser exam to be held in 2025, with 241 candidates attempting the test....

3 weeks ago