This licence authorises the licensee to carry on a financial services business to:
provide financial product advice for the following classes of financial products:
derivatives;
foreign exchange contracts;
debentures, stocks or bonds issued or proposed to be issued by a government;
interests in managed investment schemes excluding investor directed portfolio services;
securities;
superannuation;
Australian carbon credit units; and
eligible international emissions units; 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; and
foreign exchange contracts; and
arranging for another person to issue, apply for, acquire, vary or dispose of a financial product in respect of the following classes of financial products:
interests in managed investment schemes excluding investor directed portfolio services; and
securities; 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;
foreign exchange contracts;
debentures, stocks or bonds issued or proposed to be issued by a government;
interests in managed investment schemes excluding investor directed portfolio services;
securities;
superannuation;
Australian carbon credit units; and
eligible international emissions units;
make a market for the following financial products:
derivatives;
Australian carbon credit units; and
eligible international emissions units; 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 |
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