Financial services licensing for emissions units

If you provide financial services in relation to regulated emissions units, or emissions-related financial products, through a financial services business, you will need an Australian financial services (AFS) licence unless an exemption applies to you.

RG 236 details:

  • when you are likely to be providing financial services in relation to regulated emissions units
  • when you may be carrying on a financial services business, and
  • licensing exemptions that may apply to you.

Read RG 236 

If you provide financial services to retail clients, you will have additional obligations in relation to compensation and dispute resolution. Your representatives will also need to meet the minimum standards for training to provide financial product advice to retail clients.

Read about your retail client obligations

What do I make an AFS licence application?

Read our information sheet (INFO 156) about how to apply for either:

  • a new AFS licence, or
  • a variation to an existing licence for authorisation to provide financial services in regulated emissions units and associated products.

Read Information Sheet 156

How will ASIC assess applications?

What are the fees and costs?

What's new

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Last updated: 20/10/2014 12:00