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...
The corporate regulator has cancelled the Australian financial services licence of retail over-the-counter derivative issuer Forex Capital Trading after clients incurred ...
The Australian Securities and Investments Commission has issued another clear warning to retail Over the Counter derivatives traders about the limitations of their licens...
Australian financial services licensees that offer over-the-counter derivatives to retail investors overseas might be breaking overseas laws....
The Australian Securities and Investments Commission has called on the retail over-the-counter derivatives sector to improve its practices....
Unlicensed conduct by OTC derivative providers has dramatically increased, and ASIC has clamped down on 40 unlicensed providers. ...
ASIC has identified serious non-compliance issues and significant failures in the retail OTC derivatives industry....
My view is that after 2026 there will be quite a bit less than 10,000 'advisers' (investment advisers) and less than 100...
Dugald makes a great point that not everyone's definition of green is the same and gives a good example. Funds have bee...
How did they get the AFSL in the first place? Given the green light by ASIC. This is terrible example of ASIC's incompet...