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International Law

: Australian Regulatory Compliance Review

ASIC policy proposals on margin lending

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ASIC has released 2 policy proposals for public comment regarding the training requirements and financial requirements for firms that offer or advise on margin lending facilities.

Consultation Paper 108 Margin lending: training of financial advisers(CP 108) and Consultation Paper 109 Margin lending: Financial requirements(CP 109) outline how ASIC proposes to:

  • apply training requirements to financial product advisers who advise on margin lending facilities; and
  • apply the financial resource requirements to Australian financial services (AFS) licensees who provide financial services in relation to margin lending facility products.

Submissions on the proposals contained in the Consultation Papers close on Monday 10 August 2009.

Full post as published by Australian Regulatory Compliance Review on July 13, 2009 (boomark / email).

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