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Regulatory register › ASIC › AFSL 240992
CITIGROUP GLOBAL MARKETS AUSTRALIA PTY LIMITED
澳大利亚 ASIC · AFSL 240992 · Authorised (AFS licensee — FX/derivatives-related authorisation)
Firm overview
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Official register fields
| Regulator | ASIC |
| Licence / reg. no. | AFSL 240992 |
| Registration status | Authorised (AFS licensee — FX/derivatives-related authorisation) |
| ABN/ACN | 64003114832 |
| Licence effective date | 01/03/2004 |
| Registered region | SYDNEY NSW 2000 Australia |
数据来源：ASIC AFS Licensee dataset (data.gov.au) · 同步日期 2026-10-28
Authorisation conditions (ASIC original)
This licence authorises the licensee to carry on a financial services business to:
(a) provide financial product advice to retail and wholesale clients in relation to the following classes of financial products:
(i) derivatives;
(ii) foreign exchange contracts;
(iii) debentures, stocks or bonds issued or proposed to be issued by a government;
(iv) interests in managed investment schemes excluding investor directed portfolio services;
(v) securities;
(b) provide general financial product advice to retail clients in relation to the following classes of financial products:
(i) carbon units;
(ii) Australian carbon credit units; and
(iii) eligible international emissions units;
(c) provide financial product advice to wholesale clients in relation to the following classes of financial products:
(i) carbon units;
(ii) Australian carbon credit units; and
(iii) eligible international emissions units;
(d) deal in a financial product by:
(i) issuing, applying for, acquiring, varying or disposing of a financial product to retail and wholesale clients in respect of the following classes of financial products:
(A) derivatives;
(B) foreign exchange contracts;
(C) interests in managed investment schemes excluding investor directed portfolio services; and
(D) securities;
(ii) applying for, acquiring, varying or disposing of a financial product on behalf of another person to retail and wholesale clients in respect of the following classes of products:
(A) derivatives;
(B) foreign exchange contracts;
(C) debentures, stocks or bonds issued or proposed to be issued by a government;
(D) interests in managed investment schemes excluding investor directed portfolio services;
(E) securities;
(iii) applying for, acquiring, varying or disposing of a financial product on behalf of another person to wholesale clients in respect of the following classes of products:
(A) carbon units;
(B) Australian carbon credit units; and
(C) eligible international emissions units; and
(e) underwriting to retail and wholesale clients:
(i) interests in managed investment schemes; and
(ii) an issue of securities;
(f) make a market to retail and wholesale clients for the following financial products:
(i) foreign exchange contracts;
(ii) derivatives;
(iii) debentures, stocks or bonds issued or proposed to be issued by a government and/or debentures issued by any other body;
(iv) limited to financial products other than:
(A) derivatives;
(B) foreign exchange contracts; and
(C) debentures, stocks or bonds issued or proposed to be issued by a government and/or debentures issued by any other body; and
(g) make a market to wholesale clients for the following financial products:
(i) carbon units;
(ii) Australian carbon credit units;
(iii) eligible international emissions units; and
(h) provide the following custodial or depository services to retail and wholesale clients:
(i) operate custodial or depository services other than investor directed portfolio services.
(a) provide financial product advice to retail and wholesale clients in relation to the following classes of financial products:
(i) derivatives;
(ii) foreign exchange contracts;
(iii) debentures, stocks or bonds issued or proposed to be issued by a government;
(iv) interests in managed investment schemes excluding investor directed portfolio services;
(v) securities;
(b) provide general financial product advice to retail clients in relation to the following classes of financial products:
(i) carbon units;
(ii) Australian carbon credit units; and
(iii) eligible international emissions units;
(c) provide financial product advice to wholesale clients in relation to the following classes of financial products:
(i) carbon units;
(ii) Australian carbon credit units; and
(iii) eligible international emissions units;
(d) deal in a financial product by:
(i) issuing, applying for, acquiring, varying or disposing of a financial product to retail and wholesale clients in respect of the following classes of financial products:
(A) derivatives;
(B) foreign exchange contracts;
(C) interests in managed investment schemes excluding investor directed portfolio services; and
(D) securities;
(ii) applying for, acquiring, varying or disposing of a financial product on behalf of another person to retail and wholesale clients in respect of the following classes of products:
(A) derivatives;
(B) foreign exchange contracts;
(C) debentures, stocks or bonds issued or proposed to be issued by a government;
(D) interests in managed investment schemes excluding investor directed portfolio services;
(E) securities;
(iii) applying for, acquiring, varying or disposing of a financial product on behalf of another person to wholesale clients in respect of the following classes of products:
(A) carbon units;
(B) Australian carbon credit units; and
(C) eligible international emissions units; and
(e) underwriting to retail and wholesale clients:
(i) interests in managed investment schemes; and
(ii) an issue of securities;
(f) make a market to retail and wholesale clients for the following financial products:
(i) foreign exchange contracts;
(ii) derivatives;
(iii) debentures, stocks or bonds issued or proposed to be issued by a government and/or debentures issued by any other body;
(iv) limited to financial products other than:
(A) derivatives;
(B) foreign exchange contracts; and
(C) debentures, stocks or bonds issued or proposed to be issued by a government and/or debentures issued by any other body; and
(g) make a market to wholesale clients for the following financial products:
(i) carbon units;
(ii) Australian carbon credit units;
(iii) eligible international emissions units; and
(h) provide the following custodial or depository services to retail and wholesale clients:
(i) operate custodial or depository services other than investor directed portfolio services.
⚠ 风险提示：外汇及差价合约（CFD）为杠杆产品，风险高，亏损可能超过初始投入，不适合所有投资者。本页内容仅为一般性教育资料，不构成投资建议，也不构成对任何产品、交易商或交易行为的推荐。交易前请充分了解风险，并遵守所在地法律法规。