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yourock 发表于 2016-1-21 11:25 
请教AFSL需要什么资格?
You must have an Australian financial services (AFS) licence to conduct a financial services business.
If you carry on a business of providing financial services, you must hold an AFS licence (unless you are exempt or are authorised to provide those services as a representative of another person who holds an AFS licence).
You may need an AFS licence if, as part of your business, you:
provide financial product advice to clients
deal in a financial product
make a market for a financial product
operate a registered scheme
provide a custodial or depository service, or
provide traditional trustee company services.
You will need to have your AFS licence or be a representative of a licensee from the day you start your financial services business. Depending on your business, you may decide to apply for a limited AFS licence.
ASIC assesses applications for AFS licences as part of our role as regulator of the financial services industry.
Consumers should be aware that the licensing process is a point-in-time assessment of the licensee, not of its owners or employees. Holding an AFS licence does not guarantee the probity or quality of the licensee’s services. |
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