Vanuatu’s Financial Dealers Licensing Act No. 5 of 2024: Key Changes and What It Means for Your Business On December 4, 2024, the Vanuatu Financial Services Commission (VFSC) officially gazetted the Financial Dealers Licensing (FDL) Amendment Act No. 5 of 2024. This amendment introduces significant regulatory updates affecting all FDL license holders, registered agents, and […]
Seychelles’ Evolving Regulatory Landscape: Key Changes for Brokers and Securities Dealers Seychelles has long been a preferred offshore jurisdiction for forex brokers and securities dealers, offering regulatory flexibility, attractive tax benefits, and an efficient licensing process. However, with the recent amendments introduced by the Securities (Amendment) Act, 2024, the regulatory landscape has evolved significantly.
ASIC Unveils Updated Guidance for Registered Liquidators: Enhancing Clarity and Addressing Industry Needs The Australian Securities and Investments Commission (ASIC) has announced significant updates to its regulatory guidance for registered liquidators, aimed at streamlining processes and improving clarity within the profession. This updated guidance, outlined in Regulatory Guide 258 (RG 258), reflects a range of
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ASIC Updates 2023-24 Licensing and Professional Registration: Crypto, BNPL, and More in Focus The Australian Securities and Investments Commission (ASIC) has released its 2023-24 update on licensing and professional registration activities, providing key insights into its gatekeeping role in maintaining market integrity. As detailed in Report 797: Licensing and Professional Registration Activities (REP 797), ASIC
Shaping the Future of Finance: The Role of Leading Global Regulatory Authorities In today’s interconnected financial landscape, regulatory bodies like the U.S. Securities and Exchange Commission (SEC), the Financial Conduct Authority (FCA), and the European Securities and Markets Authority (ESMA) play critical roles in establishing trust, ensuring compliance, and fostering innovation across global markets. From
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ASIC Reissues Regulatory Guide 121: Updated Guidance for International Financial Services Businesses in Australia The Australian Securities and Investments Commission (ASIC) has reissued Regulatory Guide 121 (RG 121) to offer updated guidance for individuals and companies outside Australia seeking to conduct financial services business within the country. This revised version replaces the previous guidance issued
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Spanish Regulator Strengthens Measures on CFDs The Spanish Securities Market Commission (CNMV) is set to introduce additional measures aimed at tightening the marketing, distribution, and sales of contracts for difference (CFDs) instruments. These new restrictions, consisting of two parts, are scheduled to take effect on July 20, 2023. The European Securities and Markets Authority (EMSA)
Spanish Regulator Implements Stricter Measures on CFDs Marketing and Sales Read More »
The Australian Securities & Investments Commission (ASIC) released its annual licensing report on Friday, revealing that it has approved 578 new licenses between July 2021 and June 2022, which is an increase of 26 percent from the prior year. The regulator received a total of 1,469 applications for the Australian Financial Services (AFS) license and
ASIC Approves 578 New Licenses in Fiscal 2022 Read More »
The Australian Securities and Investments Commission (ASIC) confirmed the remade class order, defining the financial requirements of retail over-the-counter (OTC) derivatives issuers, on Friday. The order for extending the requirements for five more years came as its previous order was set to expire on 1 October. Additionally, the regulator issued a public consultation paper before issuing
ASIC Extends Retail Derivatives Issuers’ Financial Requirements for 5 Years Read More »
The Australian Securities and Investments Commission (ASIC) published a report on Wednesday, detailing its licensing activities in the last financial year, between July 2020 to June 2021. The regulator has issued 339 new Australian Financial Services (AFS) licenses and 119 new credit licenses in the period. The last fiscal year was a bit different for
ASIC Grants 339 New AFS Licenses in FY2020-21 Read More »
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