Licenses
FINANCIAL SERVICES LICENSE
Caprock operates under an Australian Financial Services License 330742 and is regulated by the Australian Securities and Investment Commission (ASIC). Caprock is also a registered and regulated member of the Australian Monetary Authority (Austrac).
Our In-house capabilities – backed by the investment expertise and experience of our management team and Board of Directors – enable us to quickly adapt to any changes in the market and achieve greater control over investment projects.
Our In-house capabilities – backed by the investment expertise and experience of our management team and Board of Directors – enable us to quickly adapt to any changes in the market and achieve greater control over investment projects.
Caprock is authorised to:
- Advise,
- Deal,
- Create,
- Apply
- Acquire and
- Dispose of the following Financial Products:
- Securities
- Derivatives,
- Managed Investment Schemes
- Deposits and
- Payments
.jpg)
- Caprock’s Financial Services License as a Responsible Entity (RE) can be verified on the ASIC website by searching (AFSL 330742)
- Peter Yassa has been the authorised Representative and Responsible Manager on Caprock’s License since 2011 with Authorisation and license number AR 404025.
- Caprock RE (Responsible Entity) has a number of Authorised Representatives under its License:
- Caprock Property AR 404027
- Caprock Merchant AR 434158
- Caprock Securities AR 434159
- Caprock Funds Management AR 434160
CORPORATE GOVERNANCE
Caprock maintains strict corporate governance policies and best practices to meet the requirements of the market regulator, partners, and investors.
Operating under an Australian Financial Services License (AFSL 330742), the Caprock management team and Board of Directors work to uphold principles of accountability and transparency in all of the company's investment projects – thereby building investor trust and confidence in the company and of the company's products.
Caprock Limited has long recognised the need to have in place a comprehensive series of policies, procedures and guidelines relating to corporate governance, ethics, and financial and risk management. The decentralised structure of the Caprock Group means that the Caprock Limited, as the parent company, has the responsibility for providing overall operating parameters for its operating entities. These include setting financial controls, conducting business audits, investment and acquisition overview, and ensuring the highest standards in corporate communications and external affairs.
Operating under an Australian Financial Services License (AFSL 330742), the Caprock management team and Board of Directors work to uphold principles of accountability and transparency in all of the company's investment projects – thereby building investor trust and confidence in the company and of the company's products.
Caprock Limited has long recognised the need to have in place a comprehensive series of policies, procedures and guidelines relating to corporate governance, ethics, and financial and risk management. The decentralised structure of the Caprock Group means that the Caprock Limited, as the parent company, has the responsibility for providing overall operating parameters for its operating entities. These include setting financial controls, conducting business audits, investment and acquisition overview, and ensuring the highest standards in corporate communications and external affairs.
Caprock’s corporate governance objectives are based on the following principles:
- Laying solid foundation for management and oversight
- Structuring the board to add value
- Promoting ethical and responsible decision-making
- Safeguarding integrity in financial reporting
- Making timely and balanced disclosure
- Respecting the rights of investors
- Recognising and managing risks
- Encouraging enhanced performance
- Ensuring fair and responsible remuneration
- Recognising the legitimate interests of stakeholders