This licence authorises the licensee to carry on a financial services business to:
provide general financial product advice to retail and wholesale clients for the following classes of financial products:
derivatives;
interests in managed investment schemes excluding investor directed portfolio services; and
securities; and
provide financial product advice to wholesale clients only for the following classes of financial products:
derivatives;
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 to retail and wholesale clients:
derivatives; and
securities;
applying for, acquiring, varying or disposing of a financial product on behalf of another person in respect of the following classes of products to retail and wholesale clients:
derivatives;
securities; and
arranging for another person to apply for, acquire, vary or dispose of financial products in respect of the following classes of financial products to wholesale clients only:
interests in managed investment schemes excluding investor directed portfolio services; and
underwriting:
an issue of securities to retail and wholesale clients.
| Name | First provided advice | Qualification and trainings |
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