What is PrimaryMarkets' Compliance Policy?

 

For introductions of Buyers and Sellers where requirements of Corporations Act (Cth) 2001 ("the Act") may be relevant, PrimaryMarkets complies with the prescriptive requirements of being a Corporate Authorised Representative of Australian Financial Service Licence No 334838 as well by operating within the conditions and requirements of ASIC Class Order 02/273 to ensure compliance with relevant provisions of the Act.

These compliance matters pertain (in certain circumstances) to dealing in securities and being offered only to Wholesale  or Professional Investors without a disclosure statement or regulated promotion securities offer. If you have any queries as to how to interpret these laws/regulations you should seek your own legal advice.

 

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