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Regulation

Argonaut’s Australian operating divisions are regulated by the Australian Securities and Investment Commission, holding several AFS licenses.

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.

Argonaut | The Natural Choice in Resources.
© 2019 Argonaut.

Corporate Finance
Stockbroking & Research
Contact Us

Argonaut | Perth

Level 30, Allendale Square, 77 St Georges Terrace Perth, WA, 6000 Australia

[email protected]

ABN 72 108 330 650

Argonaut | Hong Kong

Language Options
中文  |  English

Suite 701, Level 7, Henley Building, 5 Queen's Road Central,
Hong Kong

SFC CE No. AXO052

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Copyright 2019 | Website ⚡ by Start Digital

  • About Us
    • Business Model
    • Regulation
    • Community
    • Jason and the Argonauts
    • Disclaimer and Disclosure
  • Corporate Finance
  • Stockbroking & Research
    • Stockbroking
    • Research
    • Best Execution Policy
    • Administration Forms
    • Open an Account
  • Special Situations
  • News
    • Latest News
    • Morning Notes
    • Latest Research
  • Contact
    • Careers
      • Advisers
      • Graduate Program
      • Internship Program
Argonaut