CFD Providers

We have advised a vast number of Over-the-Counter (OTC) Derivatives businesses including:

  • Margin Forex and Contracts For Difference (CFD) market makers
  • Corporate FX forward and FX options businesses
  • Wholesale liquidity platforms who act as central counter-parties
  • Liquidity providers

How we can help

  • Anti-Money Laundering and Counter-Terrorism Financing Programs (Part A and Part B)
  • Employment Agreements in light of Australian Law
  • AFSL applications
  • Financial Services Guide (if you deal with retail clients)
  • Product Disclosure Statement (if you deal with retail clients)
  • Statement of Advice (if you provide personal advice to retail clients)
  • Terms and Conditions
  • Privacy Policy and Privacy Statement
  • Documentation required to set up a business in Australia
  • Agreements with external Responsible Managers (if applicable)
  • Client Money policy that help meet compliance with ASIC Client Money Reporting Rules
  • Negotiate International Swaps and Derivatives Association (ISDA) Master Agreements

The OTC Derivatives Compliance Forum

Because we act for so many participants in the OTC derivatives and CFDs industry, we run quarterly face-to-face and online compliance forums for market participants.

Sign up to the HN Hub to attend our forums or contact us to find out more.

Useful resources for OTC and CFD providers

Blog update
Product Intervention for CFDs issuers and Binary Options has landed in Australia. Read our top 6 FAQs

After years of speculation, product intervention in the CFDs sector has come to Australia.  This article sets out the 8 conditions proposed by ASIC, and some of our commentary.  As…

Webinar
Webinar: Monitoring & supervision: Is your approach fit for purpose?

In this session, Sarah Archer, Senior Associate,  will discuss all things “monitoring and supervision”.  There a number of legal obligations to monitor and supervise employees and representatives, including those under…

Responsible Manager Training
AFSL - Responsible Manager Workshop (Introduction)

Our half day course has been designed to provide you with an overview of the role of Responsible Managers, and how they fit within the broader regulatory framework.  The sessions…