YP Securities Limited holds Australian Financial Services Licence No. 531729. We appoint and supervise corporate authorised representatives, and maintain the governance, compliance and reporting framework that sits behind them.
We provide the licence, the framework and the oversight. Representatives bring the client relationships; we make it possible for them to operate within a supervised, documented and defensible compliance environment.
Appointment and ongoing supervision of corporate authorised representatives under AFSL 531729, including ASIC notification, authorisation scoping, and the representative agreement and policy suite that governs the relationship.
A documented policy set covering conflicts of interest, breach identification and reporting, complaints handling, training and professional standards, outsourcing, and record keeping — maintained against current ASIC regulatory guidance.
Ongoing monitoring of representative conduct, periodic file review, an annual attestation cycle, and structured reporting of compliance matters and incidents to the board.
A Part A and Part B AML/CTF program maintained in line with the AML/CTF Act, covering customer identification and verification, ongoing customer due diligence, transaction monitoring, and reporting obligations to AUSTRAC.
A licence is only as good as the organisation behind it. Our obligations under section 912A of the Corporations Act are met through a defined governance structure with clear accountability, not through documentation alone.
Details required for counterparty onboarding, due diligence and regulatory verification. Our licence authorisations can be confirmed directly on ASIC Connect's Professional Registers.
If you are dissatisfied with a service provided by YP Securities Limited or by one of our authorised representatives, we want to hear about it. Our internal process is free of charge.
Email compliance@ypsecurities.com.au. Set out what happened and how you would like it resolved. We will acknowledge your complaint within one business day.
We will investigate and provide a written response within the maximum timeframe set by ASIC Regulatory Guide 271 — 30 calendar days for most complaints.
If you are not satisfied with our response, or we have not responded in time, you may refer the matter to the Australian Financial Complaints Authority at no cost. We are AFCA member 91298.
For licensee enquiries, authorised representative applications, or counterparty and due diligence requests.