AFSL Express: Compliance & Licensing Solutions

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Equities Research Firm Seeking AFSL Partnership – General Advice Authorisation

An established equities research firm is currently seeking to operate under an Australian Financial Services Licence (AFSL) as a Corporate Authorised Representative (CAR). The firm provides general advice in listed securities to retail clients and is looking to align with a licence holder offering appropriate authorisations and support.

About the Firm:

The business produces high-quality, independent stock research and investment insights, covering ASX, NASDAQ, NYSE, and Dow Jones-listed companies. Its subscriber-based model delivers timely, unbiased research reports designed to assist retail investors in making informed decisions.

What the Firm Offers:

A proven model delivering general advice in listed securities to retail clients.
Subscription-based publishing of equities research and market commentary.
An experienced team with over 5 years of industry expertise.
RG146 compliance in Securities.
Strong editorial and analytical capabilities.
Ability to operate within professional and regulatory standards.

What the Firm is Seeking:

An AFSL holder with appropriate authorisations for general advice in securities.
Willingness to onboard a CAR and provide necessary Responsible Manager support.
A fair and scalable fee structure.
Ongoing compliance and operational guidance as required.

If you are an AFSL holder looking to grow your network with experienced, compliant CARs, please telephone 0417 021 101 for more information.

DEAL DONE! - The AFSL holder is looking for one more CAR similar to the aforementioned.

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AFSL Holder Seeking Partnership – FX, Retail OTC Derivatives Issuing & Market Making

An Australian Financial Services Licence (AFSL) holder is seeking experienced professionals or businesses interested in launching or expanding operations in FX, Retail OTC derivatives issuing, and market making.

This is an opportunity for operators with a proven track record who want to establish or scale a fully licensed financial services business, without the burden of acquiring and maintaining their own AFSL.

What’s on Offer:

The AFSL holder is open to strategic partnership arrangements, including:

Use of an existing AFSL with relevant authorisations (or variation potential).
Support with compliance and Responsible Manager services.
A fair equity or revenue-share structure tied to performance milestones.
Ability to build and operate under a distinct ABN structure.

Ideal Partner:

Experienced in FX trading, derivative products, or CFD brokerage.
Capable of managing operations or launching with an existing client base.
Seeks to avoid the overheads of running an AFSL independently.
Looking for scalable, long-term growth in a regulated environment.

If you’re seeking to partner with a compliant and forward-thinking AFSL holder to build a retail OTC trading platform or FX operation, call 0417 021 101 for a confidential discussion.

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AFSL Holder Seeking Strategic Partnership – Perth Office Expansion (Corporate Advisory, Capital Raising & Investment Services)

An Australian Financial Services Licence (AFSL) holder, authorised for both wholesale and retail general and personal advice, is seeking a strategic partner to launch and operate a Perth-based office.

The new division will focus on corporate advisory and capital raising services across the tech, biotech, mining, and other growth sectors, providing tailored solutions to high-potential companies and their investors.

What We’re Looking For:

We are seeking an experienced capital markets professional or firm with a proven track record and their own investor database, capable of leading capital raising initiatives such as IPOs, private placements, and investment offers. You should be comfortable delivering financial services under a compliant framework.

What’s on Offer:

Operate under an established AFSL with full compliance support.
Perth-based Responsible Manager and Office Manager available if required.
Strategic partnership with the flexibility to manage your client base and advisory business under our licence.
Access to back-office systems, onboarding support, compliance, and Responsible Manager oversight.
Ability to offer a wide range of advisory services to both wholesale and retail clients.

Ideal Partner:

Experience in corporate advisory, ECM, or capital raising, with an emphasis on growth industries.
Strong relationships with sophisticated investors or wholesale networks.
Capability to operate independently while remaining compliant with licence obligations.
Based in or looking to expand operations into Perth, Western Australia.

Why Partner With Us:

Avoid the cost and regulatory overhead of setting up your own AFSL.
Leverage a compliant, scalable structure tailored to capital markets professionals.
Freedom to grow your own client base while operating within a regulated, supported environment.

If you're ready to build or expand a Perth-based investment and advisory business under an existing AFSL, call 0417 021 101 for a confidential discussion.

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Important Note: All opportunities listed are subject to regulatory requirements and internal review. Please see our full AFSL Disclaimer & Partnership Conditions for details.

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