Argonaut Securities is a Trading Participant of the Australian Securities Exchange (ASX) and is bound by the ASX Operating Rules and ASIC Market Integrity Rules (Securities Markets) 2017.
Argonaut’s Asian operations are regulated by the Securities and Futures Ordinance (“SFO”) administered by the Securities and Futures Commission (“SFC”) of Hong Kong.
Argonaut has access to U.S. Institutional Customers via a Broker – Dealer Agreement with the U.S. market regulated by the United States Securities and Exchange Commission and Canadian investors via an International Dealer Exemption. Argonaut also has access to other International markets via arrangements with various market participants in the relevant jurisdiction.
Australia
Division
Argonaut Capital
Argonaut Securities
Argonaut Funds Management
Argonaut Equity Partners
Activity
Corporate Advisory
Stockbroking & Research
Funds Management
Principal Investment
AFSL
221476
274099
224815
221476*
*AEP is a Corporate Representative of Argonaut Capital
Hong Kong
Division
Argonaut Securities (Asia) Ltd
Argonaut Securities (Asia) Ltd
Argonaut Securities (Asia) Ltd
Activity
Dealing in Securities
Advising in Securities
Advising in Corporate Finance
AXO
052
052
052
Argonaut Securities (Asia) Limited is licenced to Deal in Securities, Advise on Securities and Advise on Corporate Finance (regulated activities) in Hong Kong and is bound by the SFC.
