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31 articles

Sophie Gerber

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Sophie runs an Australian compliance and legal consultancy business which specialises in assisting firms establish and maintain a financial services business in Australia. Sophie works across a broad range of financial services - including funds management, derivatives (including margin FX, CFDs and binary options), financial planning and stockbroking.

Become an author

Sophie Gerber

31 articles

Sophie runs an Australian compliance and legal consultancy business which specialises in assisting firms establish and maintain a financial services business in Australia. Sophie works across a broad range of financial services - including funds management, derivatives (including margin FX, CFDs and binary options), financial planning and stockbroking.

Sophie runs an Australian compliance and legal consultancy business which specialises in assisting firms establish and maintain a financial services business in Australia. Sophie works across a broad range of financial services - including funds management, derivatives (including margin FX, CFDs and binary options), financial planning and stockbroking.

Become an author

Latest Articles

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Blogs

Paying ASIC to Do Their Job

  • New procedures give the Australian watchdog more powers to recover costs incurred from investigations. This is what firms can expect.
Wednesday, 26/08/2015 | 05:42 GMT by Sophie Gerber
Analysis

Australia - Will Single-Sided Reporting Relief Help OTC Derivative Issuers?

  • It is indicated that the relief will commence in October 2015, prior to the 12 October deadline.
Sunday, 23/08/2015 | 12:22 GMT by Sophie Gerber
Analysis

What Can Clients of Insolvent Ukrainian Broker Forex-Trend Do?

  • The New Zealand FDR will not be able to force complaints to have priority in a situation where the broker already has a liquidator appointed
Tuesday, 05/05/2015 | 13:18 GMT by Sophie Gerber
Brokers

How Can Brokers Handle Client Complaints Effectively?

  • When it comes to finding ways to settle any disputes without legal intervention the industry still has a long way to go
Wednesday, 29/04/2015 | 13:51 GMT by Sophie Gerber
Blogs

Looking Beyond Established Regulatory Jurisdictions

  • Alternatively positioned regulatory bodies in offshore jurisdictions are becoming more attractive for globally operating brokers
Wednesday, 15/04/2015 | 09:44 GMT by Sophie Gerber
Regulation

How Can Brokers Avoid Regulators' Crackdown On Copy Trading?

  • As the FCA and ASIC apply tough measures inspecting copy trading, brokers have some leeway in managing a social portfolio. Our latest Bloggers' contributor on board, legal officer Sophie Gerber, weighs in.
Thursday, 05/03/2015 | 15:10 GMT by Sophie Gerber
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