This licence authorises the licensee, only for the purpose of acting for and on behalf of clients in relation to proposed mergers, acquisitions, takeovers, fundraising (whether by way of a disclosure document or offers that do not need disclosure or otherwise), corporate advisory services (including commercial negotiations and strategy consulting), corporate finance services (including valuations and experts reports), procurement of development capital, turnaround consulting and the provision of debt and equity to companies, to carry on a financial services business to:
provide financial product advice for the following classes of financial products:
deposit and payment products limited to:
basic deposit products;
deposit products other than basic deposit products;
derivatives limited to:
old law securities options contracts and warrants;
interests in managed investment schemes excluding investor directed portfolio services; and
securities; and
deal in a financial product by:
issuing, applying for, acquiring, varying or disposing of a financial product in respect of the following classes of financial products:
derivatives limited to:
old law securities options contracts and warrants; and
applying for, acquiring, varying or disposing of a financial product on behalf of another person in respect of the following classes of products:
deposit and payment products limited to:
basic deposit products;
deposit products other than basic deposit products;
derivatives limited to:
old law securities options contracts and warrants;
interests in managed investment schemes excluding investor directed portfolio services; and
securities;
to retail and wholesale clients.
Name | First provided advice | Qualification and trainings |
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