ASIC Further Clarifies its Reporting Rules for OTC Derivatives Issuers

In October 2017, ASIC released Information Sheet 226 Complying with the ASIC Client Money ...

Continue Reading

New Derivatives Regulations in Effect for Issuers to NZ Clients

Starting today, all derivatives issuers (issuers) who make regulated offers to New Zealand...

Continue Reading

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

From Friday, 1 December 2017, all derivatives issuers (“Issuers”) who make regulated o...

Continue Reading

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

A recent case example released by FOS highlights the importance of making sure your PDS an...

Continue Reading