This licence authorises the licensee to carry on a financial services business to:
provide financial product advice to retail and wholesale clients for the following classes of financial 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; and
superannuation;
provide financial product advice to wholesale clients only for the following classes of financial products:
standard margin lending facility;
deal in a financial product by:
issuing, applying for, acquiring, varying or disposing of a financial product to retail and wholesale clients in respect of the following classes of financial products:
derivatives;
foreign exchange contracts;
interests in managed investment schemes limited to:
own managed investment scheme only; and
securities; and
applying for, acquiring, varying or disposing of a financial product to retail and wholesale clients 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;
standard margin lending facility; and
superannuation;
operate the following kinds of registered managed investment schemes to retail and wholesale clients (including the holding of any incidental property) in its capacity as responsible entity:
Global SRI Multi-Strategy Fund" scheme (ARSN: 603 285 801),
a scheme which only holds the following types of property:
derivatives;
financial assets; and
Global SRI All Seasons Fund" scheme (ARSN: 629 361 600),
a scheme which only holds the following types of property:
derivatives;
financial assets; and
Global SRI Ethical Alpha Fund" scheme (ARSN: 629 361 315),
a scheme which only holds the following types of property:
derivatives;
financial assets; and
provide the following custodial or depository services to retail and wholesale clients:
operate custodial or depository services other than investor directed portfolio services;
| Name | First provided advice | Qualification and trainings |
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