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ASIC imposes additional licence conditions on retail OTC derivatives issuer AxiCorp Financial Services Pty Ltd
ASIC has imposed additional conditions on the Australian financial services (AFS) licence of AxiCorp Financial Services Pty Ltd (AxiCorp, AFS licence 318 232) to ensure that AxiCorp has adequate compliance arrangements in place for its over the counter (OTC) derivatives business.
Under the additional AFS licence conditions:
AxiCorp must appoint an independent expert to conduct a review and assess whether AxiCorp has adequate procedures and internal controls in place to ensure compliance with its regulatory obligations;
the independent expert is required to identify remedial actions from the review and AxiCorp must provide a plan to ASIC setting out the remedial actions it proposes to implement;