Licensing & Accreditations

Sentinel is regulated under two specialist Australian financial services authorities. This dual regulation highlights Sentinel’s commitment to quality, compliance and integrity through certification and oversight at the highest level.

Australian Securities ExchangeASX Logo

Sentinel is a licensed stockbroker of the Australian Securities Exchange (ASX), being authorised as a Market Participant. This authorisation carries great credibility but also great responsibility. All stockbrokers of the ASX are subject to regulation via the Market Integrity Rules. This stringent set of rules specific to stockbroking entails a range of obligations beyond those of normal financial service providers including requirements to maintain large security bonds, submit monthly financial accounts and also undertake an annual audit.

All of these factors are designed to give clients the highest level of confidence in dealing. As a stockbroker of the ASX, Sentinel’s staff are also subject to additional obligations and requirements including specialised training and accreditation for specific products (for example, Options).

Australian Financial Services License

Sentinel also holds its own Australian Financial Services License (Number 230542). This level of licensing is required under the Corporations Act in order to provide financial services and is regulated via the Australian Securities and Investments Commission (ASIC). One of the key advantages in Sentinel holding its own license is independence. It helps ensure Sentinel’s services are free of conflicts from parent license holders and allows it to develop and evolve products to best suit the changing marketplace.