In a nut shell, we take care of all of your Compliance needs including your PI Insurance within the Securities and Derivatives market sector.  Our Compliance Managers, more specifically known as the Responsible Managers have been doing this work since 2003 so they understand your requirements and those of the regulator, the Australian Securities and Investment Commission.

Financial advice is defined in the Corporations Act as:

...a recommendation, a statement of opinion, or a report that is intended to influence a person in making a decision in relation to a particular financial product...or could reasonably be regarded as being intended to have such an influence. (CA s.766B(1))

The Corporations Act defines financial product as a product that has the purpose of:

• Making a financial investment
• Managing financial risk or
• Making non-cash payments

So if you're talking to retail clients about Securities and Derivatives such as Futures, Options, Exchange Traded Funds (ETF's), Foreign Exchange (Margin FX) or CFD's - you need a license!

If you're involved in professions such as:

• Financial Planning
• Accounting
• Securities & Derivatives Education in Financial Markets or Products
• Securities & Derivatives Publishing (books, newsletters, web sites)
• Securities & Derivatives Product Development (trading software, charting packages, trading alerts etc)
• Wealth Creation Seminars and Events

... and looking to expand and or conform your current business operations or you're a Foreign Company seeking to enter the Australian market then talk to us about licensing or representing you in Australia!! We can help you with flexible solutions to assist you in providing a wide range of Financial Services and Products to your clients. We can even help you with your sales, marketing and distribution plans!!

• Our team's proven experience in authorising entities in the Securities and Derivatives Markets since 2003.
• Our team's proven experience in formulating business strategies, tactics and management.
• The opportunity to expand your business and the services/products on offer for your clients.
• The opportunity to conform to the legislation if currently you're
  operating 'under the radar'.
• The opportunity to work with leading Trading Platforms and
  Brokerages.
• Satisfaction that your Compliance obligations will be fulfilled
  according to the Australian Securities and Investment
  Commission.

EDUCATION

Securities & Derivatives Advisors Course in:
• Futures
• Options
• Warrants
• Fras and Swaps
• CFD's

COMPLIANCE

Tailored for Individual Groups such as:
• Financial Planners
• Accountants
• Securities & Derivatives Trading Educators
• Securities & Derivatives Information Publishers
• Securities & Derivatives Product Developers
• Wealth Creation Presenters

MANAGED
PRODUCTS

Tailored for your Individual Client Groups in:
• Securities
• Equity and Futures Options
• Futures and Currency Markets
• Currency Futures
• Foreign Exchange (Margin FX)
• CFD's (Contracts for Difference)
• ETF's (Exchange Traded Funds)

BROKERAGE

or Trading Platforms
• Ninja Trader
• Think or Swim
• FXDD
• Metatrader
• Iress
• Mirus
• Alaron
• Infinity Futures

Your choice of Brokers
• Interactive Brokers
• FXCM
• IG Markets
• GFT
• Saxo
• Deal Book 360
• Gain
• Ikon
• Strategy Runner

LICENSED REP.
OFFICE

Your Securities and Derivatives Compliance Office
• Licensed Representative Office for both Foreign
  and Australian Financial Service and Product
  Providers.
• Staffed by a licensed and experienced team of
  professionals during business hours.
• Implementation of marketing, sales and
  distribution strategies.
• Execution of sales.
• Reporting.
• Support.

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