Question 1

What does Australian Securities and Investments Commission (ASIC) regulate?

Accepted Answer

Australian Securities and Investments Commission is the financial regulator in Australia, established in 1991. It oversees: authorization, regulation, supervision.

Question 2

Is ASIC a tier-1 regulator?

Accepted Answer

ASIC is currently a Tier 1 regulator on Brokers Watch. Tier 1 = strict authorization, active enforcement, and meaningful client-fund protection. Tier 3 = light-touch or offshore.

Question 3

Does ASIC offer client compensation if a broker fails?

Accepted Answer

Yes — ASIC's compensation scheme: None (segregated accounts required). Coverage limits apply per client, per firm.

Question 4

What capital do brokers need to be licensed by ASIC?

Accepted Answer

Licensed firms must maintain minimum capital of AUD 1,000,000. Higher capital requirements generally correlate with a more stringent regime.

Question 5

How many brokers are licensed by ASIC?

Accepted Answer

No firms in our directory are currently linked to ASIC. Public registers on the regulator's own site will show the authoritative list.

Question 6

Where can I verify a broker's license with ASIC?

Accepted Answer

Visit https://www.asic.gov.au and search the official public register. Cross-check the exact entity name and license number — cloned firms often re-use similar-looking names.

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