REP 316 Review of client money handling practices in the retail OTC derivatives sector

Released 3 December 2012.

This report sets out our observations of the client money handling practices of issuers of over-the-counter (OTC) contracts for difference (CFDs) and margin foreign exchange contracts to retail clients in Australia. The report follows a risk-based surveillance conducted by ASIC between December 2011 and August 2012.

Download REP 316 (PDF 330 KB)


Last updated: 03/12/2012 12:00