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Daftar kawal selia › ASIC › AFSL 330757
ALPHA SECURITIES PTY LTD
澳大利亚 ASIC · AFSL 330757 · Authorised (AFS licensee — FX/derivatives-related authorisation)
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Medan daftar rasmi
| Pengawal selia | ASIC |
| No. lesen / daftar | AFSL 330757 |
| Status pendaftaran | Authorised (AFS licensee — FX/derivatives-related authorisation) |
| ABN/ACN | 96124327064 |
| Tarikh kuat kuasa lesen | 06/11/2008 |
| Wilayah berdaftar | SYDNEY NSW 2000 Australia |
数据来源：ASIC AFS Licensee dataset (data.gov.au) · 同步日期 2026-10-28
Syarat kebenaran (asal ASIC)
This licence authorises the licensee to carry on a financial services business to:
(a) provide financial product advice for the following classes of financial products:
(i) deposit and payment products limited to:
(A) basic deposit products;
(B) deposit products other than basic deposit products;
(ii) derivatives;
(iii) foreign exchange contracts;
(iv) debentures, stocks or bonds issued or proposed to be issued by a government;
(v) interests in managed investment schemes including:
(A) investor directed portfolio services;
(vi) interests in managed investment schemes limited to:
(B) MDA services;
(vii) securities;
(viii non-standard margin lending facility; and
(ix) standard margin lending facility;
(b) deal in a financial product by:
(i) issuing, applying for, acquiring, varying or disposing of a financial product in respect of the following classes of financial products:
(A) derivatives;
(B) foreign exchange contracts;
(C) interests in managed investment schemes including:
(1) investor directed portfolio services; and
(D) interests in managed investment schemes limited to:
(2) MDA services; and
(ii) applying for, acquiring, varying or disposing of a financial product on behalf of another person in respect of the following classes of products:
(A) deposit and payment products limited to:
(1) basic deposit products;
(2) deposit products other than basic deposit products;
(B) derivatives;
(C) foreign exchange contracts;
(D) debentures, stocks or bonds issued or proposed to be issued by a government;
(E) interests in managed investment schemes including:
(1) investor directed portfolio services;
(F) interests in managed investment schemes limited to:
(2) MDA services;
(G) securities;
(H) non-standard margin lending facility; and
(I) standard margin lending facility; and
(c) provide the following custodial or depository services:
(i) operate custodial or depository services other than investor directed portfolio services and managed discretionary accounts
to retail and wholesale clients.
(a) provide financial product advice for the following classes of financial products:
(i) deposit and payment products limited to:
(A) basic deposit products;
(B) deposit products other than basic deposit products;
(ii) derivatives;
(iii) foreign exchange contracts;
(iv) debentures, stocks or bonds issued or proposed to be issued by a government;
(v) interests in managed investment schemes including:
(A) investor directed portfolio services;
(vi) interests in managed investment schemes limited to:
(B) MDA services;
(vii) securities;
(viii non-standard margin lending facility; and
(ix) standard margin lending facility;
(b) deal in a financial product by:
(i) issuing, applying for, acquiring, varying or disposing of a financial product in respect of the following classes of financial products:
(A) derivatives;
(B) foreign exchange contracts;
(C) interests in managed investment schemes including:
(1) investor directed portfolio services; and
(D) interests in managed investment schemes limited to:
(2) MDA services; and
(ii) applying for, acquiring, varying or disposing of a financial product on behalf of another person in respect of the following classes of products:
(A) deposit and payment products limited to:
(1) basic deposit products;
(2) deposit products other than basic deposit products;
(B) derivatives;
(C) foreign exchange contracts;
(D) debentures, stocks or bonds issued or proposed to be issued by a government;
(E) interests in managed investment schemes including:
(1) investor directed portfolio services;
(F) interests in managed investment schemes limited to:
(2) MDA services;
(G) securities;
(H) non-standard margin lending facility; and
(I) standard margin lending facility; and
(c) provide the following custodial or depository services:
(i) operate custodial or depository services other than investor directed portfolio services and managed discretionary accounts
to retail and wholesale clients.
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