AETOS Capital Group Pty. Ltd. is a wholly owned subsidiary of AETOS Capital Group registered in Australia, which is licensed and regulated by the Australian Securities and Investments Commission (ASIC) since 2007 (AFSL: 313016).
AETOS Capital Group (UK) Ltd. is a wholly owned subsidiary of AETOS Capital Group registered in UK, which is licensed and regulated by the Financial Conduct Authority (FCA), UK since 2013 (FCA No.:592778).
Regulatory Bodies – the Australian Securities and Investments Commission (ASIC)
ASIC (Australian Securities & Investments Commission) is one of the most recognised financial regulators worldwide. It is established under the Australian Securities and Investments Commission Act 2001, and its main functions include the supervision, investigation and management of financial markets in Australia. ASIC is also responsible for investigating complaints from clients. ASIC requires that every financial institution complies with the practices and regulations to avoid any violations, which will be severely punished by ASIC, including possible revocation of operating licenses or indictment by court.
The AFS License number of AETOS Capital Group Pty. Ltd. is 313016. To learn more about the ASIC regulatory requirements and regulatory details, please visit ASIC 's official website at www.asic.gov.au.
Regulatory Bodies – the Financial Conduct Authority (FCA), UK
With effect from 2013, the Financial Services Authority (FSA)'s responsibilities were split between two new agencies, the Prudential Regulation Authority (PRA) and the Financial Conduct Authority (FCA). The responsibility on financial service provider regulation was undertaken by the FCA. FCA regulates banks, insurance and investment industries including securities and futures.
The United Kingdom is known as one of the countries in which financial services are the robust, and the FCA plays a very important role on regulation of financial service providers registered in the UK.
The FCA has extremely strict requirements on the risk management, and tends to take preventive measure to prevent the damage occurred. This approach means more judgments based on professional knowledge will be used by the FCA, to determine whether the damage to consumers is likely to occur, and appropriate intervention will be made based on this forward-looking analysis.
The FCA registered number of AETOS Capital Group (UK) Ltd. is 592778. To learn more about the FCA regulations and regulatory details, please visit the FCA's official website at www.fca.org.uk.