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Australian Securities and Investments Commission
AAA

Rating

Australian Securities and Investments Commission
Australia
Established in 1998
Regulated by Government
Website
https://asic.gov.au
Negative Balance Protection
Yes
Protinvestor Protection
Yes
Regulatory Membership
AFSL/Australian-licensed brokers, markets, funds, financial-advice and credit providers
AVA Capital Markets Australia, c/o WeWork G, 320 Pitt Street, Sydney, NSW 2000, Australia

Regulator Introduction

The Australian Securities and Investments Commission (ASIC), formed in 1998, is Australia’s national regulator for financial markets and consumer protection. It enforces the Corporations Act, licensing and supervising brokers, investment firms, and financial advisers. ASIC promotes investor confidence, transparency, and fairness in Australia’s financial ecosystem.
Rating
Australian Securities and Investments Commission
Australian Securities and Investments Commission
Risk Management
AA
Institu Tional
Background
AAA
Regulatory Policy
AAA
Investment Protection
AA
License Value
AAA
※ Data provided by FXknows Data
  • Institutional Background:

    An analysis of the regulator's statutory responsibilities, organizational structure, experience of the senior team, performance history, international cooperation, transparency, and technical capabilities provides a comprehensive picture of its strength and credibility in the regulation of financial markets.

  • Regulatory Policy

    Examines the policies, structure, leadership, decision-making processes, and internal controls of the regulatory authority to ensure effective regulation and decision-making. As well as the effectiveness of the implementation of these policies in practice to ensure that they are able to effectively supervise the market.

  • License Value

    The threshold of entry for license application and the financial cost to be incurred in applying. It also examines the extent to which the regulatory authority's license is recognized by the market in the financial industry.

  • Risk Management

    Analyze the financial situation of the regulatory authority, including its budget, revenues, expenditures, reserves and balance sheet, as well as its ability to respond to a financial crisis or market volatility.

  • Investment Protection

    Analyze the mechanism and effectiveness of the regulatory authority's response to complaints to know the extent to which it protects investors' rights and interests.

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