Australian Securities and Investments Commission
All Records Relating To The Appointment Of Global Investment Marketing Pty Ltd (acn 663 732 296) ("gim") As An Authorised Representative Of Pulse Markets Pty Ltd, Including: The Authorised…
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All Records Relating To The Appointment Of Global Investment Marketing Pty Ltd (acn 663 732 296) ("gim") As An Authorised Representative Of Pulse Markets Pty Ltd, Including: The Authorised Representative Agreement Between GIM And Pulse Markets. Any Correspondence Between ASIC And Pulse Markets Concerning Gim’s Appointment And Cessation As An Authorised Representative. Any Notifications Or Filings Submitted To ASIC Regarding Gim’s Status As An Authorised Representative. Documents Evidencing The Professional Indemnity Insurance (pi Insurance) Held By Pulse Markets Pty Ltd During The Period In Which GIM Was An Authorised Representative, Specifically: Certificates Of Currency Covering The Period From 12 November 2024 To 7 January 2025. The Insurance Policy Documentation, Including Details Of Coverage For Claims Related To The Misconduct Of Authorised Representatives. Any Complaints, Investigations, Or Regulatory Actions Involving GIM And/or Pulse Markets Pty Ltd Related To Financial Misconduct, Fraud, Or Supervisory Failures, Including: Internal ASIC Reports Or Memoranda Discussing Complaints Or Investigations. Correspondence Between ASIC And Pulse Markets Regarding Allegations Of Misconduct By Gim. Any Regulatory Action Taken Or Proposed By ASIC In Relation To Pulse Markets' Supervisory Obligations.
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ASIC released documents showing that Global Investment Marketing Pty Ltd (GIM) was appointed as an authorised representative of Pulse Markets Pty Ltd on 27 January 2023 and ceased in that role effective 30 April 2024. The disclosure includes ASIC's official lodgement records for both the appointment and cessation notifications submitted by Pulse Markets under its AFS licence (number 000220383). The documents confirm compliance declarations were made at the time of lodgement, with signatories confirming the accuracy of information provided and their authority to submit notices. No documents relating to professional indemnity insurance certificates, complaints, investigations, regulatory actions, or misconduct allegations involving GIM or Pulse Markets appear to have been released with this disclosure.
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