OTC Derivatives and CFDs Providers

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 compliance forums for market participants.

Register to our upcoming Derivatives Compliance Forum.

Crypto Derivatives

We help global and local clients offer Perpetual Pools, Perpetual Futures, CeFi and DeFi derivatives and CFDs.  Because we act for many of the world’s largest traditional retail derivatives trading brokerages, we now advise lots of local and international crypto groups on how to offer their crypto-related derivative products in Australia.

CFD Providers

Useful resources for OTC and CFD providers

Blog Update
Blog Update
Currently trending: Interim stop orders – ASIC’s focus on design and distribution

When we think of trending, we think of what’s popular on Twitter or TikTok, and these trends generally don’t last longer than a couple of days to a week. When…

WEBINAR: Breach Reporting
WEBINAR: Breach Reporting

Identifying and reporting common incidents and breaches
In this highly practical webinar, we’ll take you step-by-step through the Incident and Breach reporting process using some common situations that we’ve come across.

Responsible Manager Training
Responsible Manager Training

Our half-day workshop has been designed to provide Responsible Managers and compliance staff with an overview of the role of the Responsible Manager and how they fit within the broader regulatory framework.