ROC CAPITAL PTY LIMITED
澳大利亚 ASIC · AFSL 460464 · Authorised (AFS licensee — FX/derivatives-related authorisation)
机构介绍
ROC CAPITAL PTY LIMITED是一家在澳大利亚证券与投资委员会（ASIC）登记的金融机构，注册地址位于悉尼新南威尔士州2000。
该机构的牌照/登记号为AFSL 460464，登记状态为授权（AFS持牌人），牌照生效日期为2014年11月7日。
ROC CAPITAL PTY LIMITED获授权提供以下服务：为零售和批发客户提供存款及支付产品（限基础存款产品）、衍生品、外汇合约、非投资者定向投资服务的管理投资方案权益以及证券的建议；为批发客户提供衍生品、外汇合约及管理投资方案权益的发行、申请、获取、变更或处置；为零售和批发客户提供证券的安排发行；为批发客户提供基础存款产品、衍生品、外汇合约、非投资者定向投资服务的管理投资方案权益以及证券的申请、获取、变更或处置；为批发客户提供管理投资方案权益的承销以及证券发行。
目前未提供商号、网站或跨境服务相关信息。
请读者注意，所有信息应以澳大利亚证券与投资委员会的官方登记页面为准，谨防冒用该名称的克隆网站。
📋 根据官方监管公开信息整理，AI辅助撰写（qwen3-30b-a3b-fp8）。内容仅限官方登记事实，不含点差、入金、评分等信息；如有出入以官方登记为准。
官方登记字段
| 监管机构 | ASIC |
| 牌照/登记号 | AFSL 460464 |
| 登记状态 | Authorised (AFS licensee — FX/derivatives-related authorisation) |
| ABN/ACN | 37167858764 |
| 牌照生效日期 | 07/11/2014 |
| 登记地区 | SYDNEY NSW 2000 Australia |
数据来源：ASIC AFS Licensee dataset (data.gov.au) · 同步日期 2026-10-28 · 明细抓取 2026-10-28
授权条件（ASIC 原文）
This licence authorises the licensee to carry on a financial services business to:
(a) provide general financial product advice to retail and wholesale clients for the following classes of financial products:
(i) deposit and payment products limited to:
(A) basic deposit products;
(ii) derivatives;
(iii) foreign exchange contracts;
(iv) interests in managed investment schemes excluding investor directed portfolio services; and
(v) securities;
(b) deal in a financial product by:
(i) issuing, applying for, acquiring, varying or disposing of a financial product to wholesale clients only 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
(ii) arranging for another person to issue, apply for, acquire, vary or dispose of a financial product to retail and wholesale clients only in respect of the following classes of financial products:
(A) securities;
(iii) applying for, acquiring, varying or disposing of a financial product on behalf of another person to wholesale clients only in respect of the following classes of products:
(A) deposit and payment products limited to:
(1) basic deposit products;
(B) derivatives;
(C) foreign exchange contracts;
(D) interests in managed investment schemes excluding investor directed portfolio services; and
(E) securities; and
(iv) underwriting to wholesale clients only:
(A) interests in managed investment schemes; and
(B) an issue of securities; and
(c) provide the following custodial or depository services to wholesale clients only:
(i) operate custodial or depository services other than investor directed portfolio services;.
(a) provide general financial product advice to retail and wholesale clients for the following classes of financial products:
(i) deposit and payment products limited to:
(A) basic deposit products;
(ii) derivatives;
(iii) foreign exchange contracts;
(iv) interests in managed investment schemes excluding investor directed portfolio services; and
(v) securities;
(b) deal in a financial product by:
(i) issuing, applying for, acquiring, varying or disposing of a financial product to wholesale clients only 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
(ii) arranging for another person to issue, apply for, acquire, vary or dispose of a financial product to retail and wholesale clients only in respect of the following classes of financial products:
(A) securities;
(iii) applying for, acquiring, varying or disposing of a financial product on behalf of another person to wholesale clients only in respect of the following classes of products:
(A) deposit and payment products limited to:
(1) basic deposit products;
(B) derivatives;
(C) foreign exchange contracts;
(D) interests in managed investment schemes excluding investor directed portfolio services; and
(E) securities; and
(iv) underwriting to wholesale clients only:
(A) interests in managed investment schemes; and
(B) an issue of securities; and
(c) provide the following custodial or depository services to wholesale clients only:
(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。