Compliance & Licensing Services

We can provide you with compliance, supervision and a cost effective Australian Financial Services licensing solution that will enable you to provide financial products and services to your clients.

Established firms or financial market participants, who want to “do their own thing” can benefit by looking at our business proposition, just as you outsource legal, accounting and IT services, outsourcing some or all of their compliance requirements including financial services licensing, may make a lot of sense.

Corporate Authorised Representatives (CAR’s) of ALPHA are able to provide their own products and services to clients once they have been approved by our compliance team. Alternatively, we can work with you to develop and brand a product for you to recommend to your clients. Our licence authorises us to provide advice on securities & derivative products, which gives you scope to advise on equities, options, futures, CFD's, ETF's, Margin FX, and many other derivative products.

Our compliance and corporate authorised representative services are established as a tailored fee for service and revenue share arrangement. This means you are free to price your products and services at your discretion. We can support you, with two way flow, through our network and provide mentoring, to encourage you to grow your business as your resources and financial capacity allows. You can concentrate on running your business and servicing your clients, and we will support you with the supervision, compliance and licensing requirements.

Corporate Services

• initial public offerings
• share placements
• rights issues
• mergers and acquisitions
• corporate advice
• backdoor listings
• roadshows, market making and market related advice
• private equity

Through our own capabilities and our network we are actively involved in initiating, managing and structuring new equity capital raisings. Our operations primarily focus on Australian Securities Exchange (“ASX”) IPOs, share placements, rights issues and development capital raisings. Through our network, we also have extensive experience in mergers and acquisitions.

We can assist in bringing together strong dealing- and advisory capacities to provide a quality product and result for clients of the Group. This can be supported by independent, third party research. We focus on building ongoing and successful relationships, specialising in micro and small-cap Australian industrial and resource companies.