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ASIC has in place capital adequacy requirements and requires licence holders have in place internal risk management and staff training procedures. External audits supplement IC Markets’ operational and accounting processes and ensure regulatory compliance.

About ASIC

ASIC is the financial services regulator in Australia responsible for ensuring that financial markets in Australia are fair and transparent, supported by confident and informed investors and consumers. ASIC is an independent Commonwealth Government body established under the Australian Securities and Investments Commission Act (ASIC Act), carrying out most of its work under the Corporations Act.

About FSA

FSA is the financial services regulator in Seychelles responsible for ensuring that financial markets in Seychelles are fair and transparent, supported by confident and informed investors and consumers.

Segregation of Client Funds

IC Markets (AU):

When funding your trading account client funds are held in client segregated trust accounts at Australian Banks, National Australia Bank (NAB) and Westpac Banking Corporation (Westpac). IC Markets complies with the Australian Client Money Handling Rules and employs strict policies and procedures regarding the maintenance and operation of these accounts.

IC Markets holds client money separately to company funds and does not use these funds for any operational expenses or purposes. Our Product Disclosure Statement outlines our client money handling policies.

IC Markets (SC):

When funding your trading account client funds are held in client segregated trust accounts at AA rated Australian banks. IC Markets (SC) complies with the Securities (Conduct of Business) Regulations, 20018 and employs strict policies and procedures regarding the maintenance and operation of these accounts.

IC Markets (SC) holds client money separately to company funds and does not use these funds for any operational expenses or purposes. Our Product Disclosure Statement outlines our client money handling policies.

Insurance

IC Markets (AU):

Professional Indemnity Insurance is maintained with Lloyd’s of London.

IC Markets (SC):

Professional Indemnity Insurance is maintained with H Savy Insurance Co Ltd in Seychelles

Banking Relationships

IC Markets (AU):

IC Markets banks with the National Australia Bank (NAB) and Westpac Banking Corporation (Westpac), both top-tier Australian Banks.

IC Markets (SC):

IC Markets (SC) banks with the National Australia Bank (NAB) and Westpac Banking Corporation (Westpac), both top-tier Australian Banks.

Professional Memberships

IC Markets is a member of the Australian Financial Complaints Authority (AFCA). AFCA is an approved Australian external dispute resolution scheme that fairly and independently resolves disputes between consumers and member financial services providers.

External Audit

IC Markets (AU):

IC Markets has in place an external independent auditor to ensure compliance with our regulatory obligations and operational processes.

IC Markets (SC):

IC Markets (SC) has in place an external independent auditor to ensure compliance with our regulatory obligations and operational processes.

Anti-Money Laundering

In accordance with the Australian Anti-Money Laundering and Counter Terrorism Financial Act 2006 IC Markets has in place policies and procedures to ensure compliance with the law. These policies and procedures are designed to prevent money laundering activities from occurring. Our Anti-Money Laundering policy outlines the documents that you must provide us before opening an account.

Licence

IC Markets (AU):

International Capital Markets hold an Australian financial services licence (AFSL) No. 335692 and is authorised to carry on a financial services business in Australia, limited to the financial services covered by our AFSL.

IC Markets (SC):

IC Markets (SC) holds a Securities Dealer Licence No SD018 and is authorised to carry on a financial services business in Seychelles, limited to the financial services covered by our Securities Dealer Licence.
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