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OFFICIAL SITE registrations and authorisations in Australia

Responsibility

Authorisation / registration

Supervisory authority

National level (Australia)

Registration and compliance with AML requirements and applicable Australian AML obligations

ASIC - Canberra

AML compliance

Membership in a recognised self-regulatory organisation (SRO) for AML and compliance obligations

Recognised by the SRO FINRA / SEC

Money transmission / custody

Registration related to money transmission or custody of client funds where applicable (national and regional level)

ASIC and relevant regional financial authorities

Securities and trading

Broker-dealer or trading platform registration where applicable

SEC / FINRA, United States

Investment advice / asset management

Registration under investment adviser and/or exchange laws where applicable for investment advice and asset management

SEC, Washington, D.C.

Exchanges and trading platforms

Registration as an alternative trading system (ATS) or equivalent where applicable

SEC / FINRA market oversight, United States

Regional requirements

Business registration and tax registration in the relevant Australian jurisdictions

Australian Securities and Investments Commission and the Australian Taxation Office