Regulation and Licensing

License

Pepperstone holds an Australian Financial Services License (AFSL) and is regulated by the Australian Securities and Investment Commission (ASIC).

ASIC requires licensed financial services providers to meet strict capital requirements and to implement and comply with internal procedures including risk management, staff training, accounting and audits.

Trading with Pepperstone

  • Pepperstone holds AFSL #414530
  • Regulated by ASIC
  • Professional Indemnity Insurance with Lloyds of London
  • Client accounts maintained with Australian Banks

How are my funds held with Pepperstone?

When you fund your trading account with Pepperstone your funds are paid into a segregated client bank account, held with The National Australia Bank. The National Australia Bank is a major Australian bank. Pepperstone cannot use client funds for any business purpose, they are kept on trust for clients and segregated from the business, however client money can be used to maintain margin that is needed to cover positions opened by clients.

Bank Accounts in Tier-1 Banks

All client funds are deposited into client segregated accounts held with top-tier banks.

Regulation of Pepperstone Financial

Pepperstone Financial holds an Australian financial services licence (AFSL) No. 414530 and is regulated by the Australian Securities & Investments Commission (ASIC). While ASIC is a robust regulator, ASIC does not endorse specific products. ASIC’s regulation of us applies in respect to our Australian financial services activities only. You should be mindful of the risks of trading Margin FX and note that you can incur losses when trading. Returns are not guaranteed. ASIC, the Australian Government nor any other person guarantees any monies in your account.