This licence authorises the licensee to carry on a financial services business to:
provide general financial product advice only, for the following classes of financial products:
deposit and payment products limited to:
non-cash payment products;
debentures, stocks or bonds issued or proposed to be issued by a government;
interests in managed investment schemes excluding investor directed portfolio services; and
securities;
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:
deposit and payment products limited to:
non-cash payment products; 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:
non-cash payment products;
debentures, stocks or bonds issued or proposed to be issued by a government;
interests in managed investment schemes excluding investor directed portfolio services; and
securities;
make a market for the following financial products:
debentures, stocks or bonds issued or proposed to be issued by a government and/or debentures issued by any other body; and
limited to financial products other than:
derivatives;
foreign exchange contracts; and
debentures, stocks or bonds issued or proposed to be issued by a government and/or debentures issued by any other body; and
provide the following custodial or depository services:
operate custodial or depository services other than investor directed portfolio services;
to wholesale clients.
| Name | First provided advice | Qualification and trainings |
|---|