Our Commitment to
Integrity and Regulatory Excellence
Upholding the Highest Standards of Governance and Compliance
Regulatory
Overview
Mulberry Securities Pty Ltd is an Australian-registered financial services firm committed to the highest standards of professional conduct, ethical governance, and regulatory compliance. The company operates under the oversight of the Australian Securities and Investments Commission (ASIC) and adheres to the laws, frameworks, and best practices that govern financial and analytical services in Australia and international markets.
Our culture of accountability ensures that every aspect of our business from investment strategy to client reporting, upholds integrity, transparency, and respect for the regulatory environments in which we operate.
Corporate
Information
- Registered Name Mulberry Securities Pty Ltd
- Trading Name Mulberry Wealth Securities
- Regulatory Authority Australian Securities and Investments Commission (ASIC)
- Australian Financial Services Licence (AFSL) Number: 530 658
- Company Registration Number (ACN) 646 836 624
- Place of Incorporation New South Wales, Australia
- Head Office 23F, 88 Walker Street, North Sydney NSW 2060, Australia
- Email [email protected]
- Website www.mulberry-wealth.com
Our
Regulatory Commitment
Mulberry Securities Pty Ltd is authorised and regulated by the Australian Securities and Investments Commission (ASIC) under Australian Financial Services Licence (AFSL) Number 530 658. This authorisation affirms our compliance with ASIC’s stringent standards for financial soundness, ethical conduct, and professional competence.
We operate within the framework of the Corporations Act 2001 (Cth) and associated regulations, ensuring that every client interaction, product, and service is delivered with fairness, transparency, and integrity. Our governance model embeds regulatory discipline into daily operations, reflecting our ongoing commitment to protecting clients and promoting confidence in financial markets.
As a regulated firm, Mulberry Securities Pty Ltd is subject to ongoing supervision and regular reviews by ASIC. Our compliance and audit teams maintain rigorous oversight of all internal processes, including anti-money laundering (AML), counter-terrorism financing (CTF), data protection, and conduct-of-business obligations.
Data Protection
and Legal Governance
Protecting client and corporate information is central to our operations. Mulberry Securities Pty Ltd processes all personal data in accordance with the Privacy Act 1988 (Cth) and the Australian Privacy Principles (APPs). Robust cyber-security frameworks and strict internal protocols safeguard information, ensuring confidentiality, integrity, and proper use at all times.
We also adhere to recognised standards of corporate governance and ethical communication. All research, publications, and marketing materials are reviewed for factual accuracy, balance, and compliance with ASIC’s regulatory guidance to prevent misleading or exaggerated statements.
Transparency
and Verification
Clients, partners, and members of the public can confirm our regulatory status through the ASIC Professional Registers, available at www.asic.gov.au. These registers provide authoritative confirmation of our licence, authorisations, and regulated activities.
Mulberry Securities Pty Ltd remains dedicated to transparency and accountability across all aspects of its operations. Through continuous oversight, ethical governance, and a culture of compliance, we uphold the trust placed in us by clients, regulators, and stakeholders alike.