Regulatory Information
Operating under stringent regulatory oversight in Australia.
Australian Regulation
YellowFin Asset Management operates under ASIC financial services regulations, ensuring the highest standards of compliance and investor protection.
Australian Regulation
Yellowfin Asset Management Pty Ltd operates as a Corporate Authorised Representative under an Australian Financial Services Licence (AFSL) and is supervised by the Australian Securities and Investments Commission (ASIC).
ASIC Registration Details
Authorised Services (Australia)
Under our Australian Financial Services Licence, we are authorised to provide the following services:
- Dealing in financial products
- Providing financial product advice
- Operating managed investment schemes
- Custodial or depository services
Our services are available to wholesale and sophisticated investors as defined under the Corporations Act 2001 (Cth). Please refer to our Disclaimer for complete details.
Our Compliance Framework
We maintain a comprehensive compliance framework designed to ensure ongoing adherence to all regulatory requirements and best practices.
Policies & Procedures
Comprehensive written policies and procedures covering all aspects of our operations, including conflicts of interest, personal trading, and client communications.
Record Keeping
Rigorous record-keeping practices ensuring all required documentation is maintained in accordance with regulatory requirements.
Ongoing Monitoring
Continuous monitoring of trading activities, client accounts, and compliance with applicable rules and regulations.
Risk Management
Robust risk management framework including position limits, concentration monitoring, and stress testing procedures.
Regular Reporting
Timely and accurate reporting to regulators, including all required filings and disclosures as mandated by applicable regulations.
Staff Training
Ongoing compliance training for all staff members to ensure awareness of regulatory requirements and company policies.
Important Documents
Access our regulatory documents and disclosures.
Disclaimer
Important information about the risks associated with investments and the limitations of the information provided on this website.
Read DisclaimerPrivacy Policy
Our Privacy Policy explains how we collect, use, disclose, and protect your personal information in accordance with applicable privacy laws.
Read Privacy PolicyQuestions About Our Regulatory Status?
Our compliance team is available to answer any questions about our regulatory framework, licensing, or compliance procedures.