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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 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
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
WEBINAR: Are you ready for the new financial services requirements in October?

It’s no doubt been a been a busy few months for most of you as you prepare for the raft of changes that come into effect in October 2021.  In…

Blog update
Blog update
RG 271 – Are you ready for the new Internal Dispute Resolution (IDR) requirements?

  The Australian Securities and Investments Commission (ASIC) released Regulatory Guide 271: Internal Dispute Resolution (RG 271) on 30 July 2020.  ASIC’s internal dispute resolution (IDR) reporting requirements will come…