This licence authorises the licensee to carry on a financial services business to provide financial service(s) limited to:
Provide financial product advice limited to personal and general financial product advice limited to:
basic deposit products to wholesale clients;
debentures, stocks or bonds issued or proposed to be issued by a government to wholesale clients;
derivatives to wholesale clients;
managed investment schemes excluding IDPS to wholesale clients;
managed investment schemes limited to MDA services to wholesale clients;
non-basic deposit products to wholesale clients;
non-cash payment products to wholesale clients; and
securities to wholesale clients.
Provide financial product advice limited to general financial product advice limited to:
basic deposit products to retail clients;
debentures, stocks or bonds issued or proposed to be issued by a government to retail clients;
managed investment schemes excluding IDPS to retail clients;
non-basic deposit products to retail clients;
non-cash payment products to retail clients; and
securities to retail clients.
Deal in a financial product limited to issue, apply for, acquire, vary or dispose of a financial product limited to:
derivatives to wholesale clients;
managed investment schemes excluding IDPS to wholesale clients;
managed investment schemes limited to MDA services to wholesale clients;
securities to retail and wholesale clients.
Deal in a financial product limited to apply for, acquire, vary or dispose of a financial product on behalf of another person limited to:
basic deposit products to retail and wholesale clients;
debentures, stocks or bonds issued or proposed to be issued by a government to retail and wholesale clients;
derivatives to wholesale clients;
managed investment schemes excluding IDPS to retail and wholesale clients;
managed investment schemes limited to MDA services to wholesale clients;
non-basic deposit products to retail and wholesale clients;
non-cash payment products to retail and wholesale clients; and
securities to retail and wholesale clients.
Make a market for a financial product limited to:
financial products other than: (a) derivatives; (b) foreign exchange contracts; and (c) debentures, stocks or bonds issued or proposed to be issued by a government and/or debentures issued by any other body to wholesale clients.
Provide a custodial or depository service other than IDPS to retail and wholesale clients.
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