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ROC CAPITAL PTY LIMITED
澳大利亚 ASIC · AFSL 460464 · Authorised (AFS licensee — FX/derivatives-related authorisation)
Giới thiệu
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。
Trường đăng ký chính thức
| Cơ quan quản lý | ASIC |
| Số GP / đăng ký | AFSL 460464 |
| Trạng thái đăng ký | Authorised (AFS licensee — FX/derivatives-related authorisation) |
| ABN/ACN | 37167858764 |
| Ngày hiệu lực giấy phép | 07/11/2014 |
| Khu vực đăng ký | SYDNEY NSW 2000 Australia |
数据来源：ASIC AFS Licensee dataset (data.gov.au) · 同步日期 2026-10-28
Điều kiện cấp phép (ASIC gốc)
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;.
⚠ Cảnh báo rủi ro: Ngoại hối và hợp đồng chênh lệch (CFD) là sản phẩm đòn bẩy, rủi ro cao, tổn thất có thể vượt quá số vốn ban đầu, không phù hợp với tất cả các nhà đầu tư. Nội dung trang này chỉ mang tính chất giáo dục chung, không phải lời khuyên đầu tư, cũng không phải khuyến nghị cho bất kỳ sản phẩm, nhà môi giới hoặc hành vi giao dịch nào. Trước khi giao dịch, hãy hiểu rõ rủi ro và tuân thủ luật pháp và quy định địa phương.