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International Law
: Australian Regulatory Compliance ReviewASIC's approach to people overseas offering financial services in Australia
ASIC has issued a new regulatory guide Doing financial services business in Australia (RG 121 pdf).
The new guide explains to foreign financial services providers Australia?s financial services regime under the Corporations Act by:
- Setting out the statutory regime and describing ASIC?s regulation of the financial services industry.
- Describing the requirement to be licensed if they wish to provide financial services in Australia.
- Summarising the exemptions available from the requirement to hold a licence, including those exemptions designed specifically for foreign financial services providers.
- Introducing some of the obligations that come with being a licensee.
- Describing disclosure obligations that apply if they offer financial products in Australia, even if they do not need a licence.
- Noting some of the other rules and legislation that may apply to someone from overseas that wishes to offer financial services in Australia.
Full post as published by Australian Regulatory Compliance Review on August 11, 2008 (boomark / email).
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