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ASIC Further Clarifies its Reporting Rules for OTC Derivatives Issuers

Posted on January 23rd, 2018 by Sophie Gerber in ASICClient MoneyOTC Derivatives
In October 2017, ASIC released Information Sheet 226 Complying with the ASIC Client Money Reporting Rules (Info Sheet 226) which included fields pertaining to client monies held with brokers as per th ...

New Derivatives Regulations in Effect for Issuers to NZ Clients

Posted on December 4th, 2017 by Sophie Gerber in LicensingNew ZealandOTC Derivatives
Starting today, all derivatives issuers (issuers) who make regulated offers to New Zealand clients must be licensed by the New Zealand Financial Markets Authority (FMA). Previously, financial servi ...

The Licensing Deadline for Issuers of Short-Term Derivatives to New Zealand Clients has Arrived

Posted on November 29th, 2017 by Sophie Gerber in LicensingNew ZealandOTC Derivatives
From Friday, 1 December 2017, all derivatives issuers (“Issuers”) who make regulated offers to New Zealand clients must be licensed by the New Zealand Financial Markets Authority (“FMA”). P ...

Material Errors: The Importance of Disclosure for Margin FX and CFD Providers

Posted on August 27th, 2017 by Sophie Gerber in FOSFXOTC Derivatives
A recent case example released by FOS highlights the importance of making sure your PDS and Client Agreement (T&Cs) cover material errors in pricing and the ability for providers to cancel trades ...