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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...
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 ...
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...
Policy & Regulation
Australian financial services licensees that offer over-the-counter derivatives to retail investors overseas might be breaking overseas laws....
Financial planning
The Australian Securities and Investments Commission has called on the retail over-the-counter derivatives sector to improve its practices....
Funds management
Unlicensed conduct by OTC derivative providers has dramatically increased, and ASIC has clamped down on 40 unlicensed providers. ...
Funds management
ASIC has identified serious non-compliance issues and significant failures in the retail OTC derivatives industry....
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The succession dilemma is more than just a matter of commitments.This isn’t simply about younger vs. older advisers. It’...
Significant ethical issues there. If a relationship is in the process of breaking down then both parties are likely to b...
It's not licensees not putting them on, it's small businesses (that are licensed) that cannot afford to put them on. The...