Listing 069
Retail & Wholesale Market Maker — ~1-Week Change of Control After SSA
An ASIC-authorised Australian Financial Services Licence (AFSL) holder with both retail and wholesale client permissions is available for full acquisition. The entity is authorised for CFDs, foreign exchange contracts, derivatives, and market making — covering the full scope of activities required by an internationally operating CFD and FX brokerage. Client Permissions Retail clients and wholesale clients. Why Retail Authorisation Matters ASIC retail CFD and FX authorisations are significantly harder to obtain than wholesale-only permissions. Since ASIC's product intervention orders and design and distribution obligations came into force, new retail AFSL applicants face substantially higher scrutiny, longer processing times, and more demanding ongoing compliance requirements. Acquiring an existing retail-authorised AFSL eliminates this regulatory risk and provides immediate access to the Australian retail market under a fully compliant, ASIC-supervised entity. Transaction Structure Full entity acquisition — the buyer acquires the entire company including all AFSL permissions, regulatory standing, and assets within the entity. No carve-outs. Responsible Managers Existing RM arrangements are subject to the incoming buyer's requirements. Buyers may retain existing Responsible Managers or appoint replacements, subject to ASIC's fit-and-proper assessment. Zitadelle Advisory Group provides RM transition advisory as part of the transaction. Change-of-Control Process The standard ASIC change-of-control notification process applies. Once the Share Sale Agreement is executed, the change of control can typically be completed within one week. KYC and Buyer Qualification Standard AML/KYC documentation is required, broadly consistent with UK FCA and EU requirements. Zitadelle Advisory Group coordinates the documentation process for both parties. About the AFSL ASIC (Australian Securities and Investments Commission) is one of the most respected financial regulators globally, placing Australian AFSLs in the same tier as FCA, BaFin, and MAS authorisations for counterparty and institutional purposes. Retail CFD authorisation in Australia enables direct-to-consumer brokerage services without reliance on an offshore white-label or introducing broker structure.
Asking Price
POA
Price on Application — contact under NDA.
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Change of control is subject to ASIC notification and fit-and-proper assessment of incoming controllers and Responsible Managers. Retail entities remain subject to ASIC product intervention orders and design and distribution obligations. Timelines are indicative and not guaranteed. This listing is for informational purposes only and does not constitute an offer. Full due diligence materials available under NDA. Financial License Market acts as introducer only.
Acquisition of regulated entities is subject to regulatory change of control approval where applicable. Financial License Market acts as introducer only and does not provide legal, tax, or regulatory advice. Prospective acquirers should conduct independent due diligence and engage appropriate professional advisors.
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