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The Australian Securities and Investment Commission (ASIC) has today published a report entitled ‘Compliance review of the retail OTC derivatives sector’, covering FX, binary options and contract for difference (CFD) products, among other instruments under its derivatives definition.
The report is relevant to Australian Financial Services (AFS) licensees and entities that provide them support such as legal and/or compliance services providers.
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Retail OTC focus
As part of the review, ASIC assessed 55 licensees against seven key compliance risks, and then sent ... (read more)