EN#0326 – Financial Product Advice AFSL for FX, derivatives, securities

An opportunity to acquire an ASIC-regulated entity holding an Australian Financial Services Licence (AFSL), offering a compliant and operational framework for parties seeking an established presence in Australia. The setup provides immediate regulatory coverage, banking access, and trading infrastructure, making it suitable for institutional-focused or hybrid (wholesale/retail) business models.

Key Highlights:

• Regulatory Authorisation & Business Model: The entity holds an active AFSL. This licence authorises the licensee to carry on a financial services business to:

(a) Provide general financial product advice for the following classes of financial products:
(i) deposit and payment products limited to:
(A) basic deposit products;
(B) deposit products other than basic deposit products;
(ii) derivatives;
(iii) foreign exchange contracts;
(iv) interests in managed investment schemes excluding investor-directed portfolio services; and
(v) securities; and

(b) deal in a financial product by:
(i) issuing, applying for, acquiring, varying, or disposing of a financial product in respect of the following classes of financial products:
(A) derivatives;
(B) foreign exchange contracts; and
(C) interests in managed investment schemes limited to:
(1) own managed investment scheme only; and

(ii) applying for, acquiring, varying or disposing of a financial product on behalf of another person in respect of the following classes of products:
(A) deposit and payment products limited to:
(1) basic deposit products;
(2) deposit products other than basic deposit products;
(B) derivatives;
(C) foreign exchange contracts;
(D) interests in managed investment schemes excluding investor-directed portfolio services; and
(E) securities;
to retail and wholesale clients.

Historically, the licensed business model has focused on the distribution of technical analysis for FX, Gold, and Silver, fully within the scope of the AFSL permissions.

• Cost Structure: Ongoing monthly operating costs range between AUD 6 to 8k, reflecting a lean structure designed for institutional activity.
• Capital Requirements: The entity meets the applicable regulatory capital requirements, with a minimum capital threshold of AUD 100k.
• Client & Revenue Profile: Currently, one institutional subscriber remains and generates AUD 500 per month in subscription revenue. The platform is otherwise lightly utilized, allowing for immediate scalability or strategic repositioning.
• Banking Infrastructure: A local bank account is already in place, supporting operational readiness and smoother onboarding for counterparties and service providers.

This AFSL-based entity represents a streamlined and efficient opportunity for buyers seeking regulated coverage for general financial product advice (including FX contracts, derivatives and securities), supported by banking access and trading infrastructure in Australia – without the time and uncertainty associated with applying for a new licence from scratch.

For further information on the sale of this ASIC-regulated entity, please contact our Mergers & Acquisitions team at info@salvusfunds.com. More entities for sale can be found within our Entity Acquisition or Sale service.

SALVUS Funds’ teams can be engaged for guiding on new license authorisations for payment services, ongoing regulatory compliance consultancy for licensed entities, and support in successfully acquiring ready-made regulated entities.

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