This licence authorises the licensee to carry on a financial services business to:
provide general financial product advice to retail clients for the following classes of financial products:
deposit and payment products including:
basic deposit products;
deposit products other than basic deposit products; and
non-cash payment products;
derivatives;
foreign exchange contracts;
debentures, stocks or bonds issued or proposed to be issued by a government;
interests in managed investment schemes including:
investor directed portfolio services;
securities; and
superannuation;
provide financial product advice to wholesale clients for the following classes of financial products:
deposit and payment products including:
basic deposit products;
deposit products other than basic deposit products; and
non-cash payment products;
derivatives;
foreign exchange contracts;
debentures, stocks or bonds issued or proposed to be issued by a government;
interests in managed investment schemes including:
investor directed portfolio services;
securities; and
superannuation;
deal in a financial product to retail and wholesale clients by:
issuing, applying for, acquiring, varying or disposing of a financial product in respect of the following classes of financial products:
derivatives;
foreign exchange contracts;
life products limited to:
life risk insurance products as well as any products issued by a Registered Life Insurance Company that are backed by one or more of its statutory funds; and
interests in managed investment schemes excluding investor directed portfolio services;
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 including:
basic deposit products;
deposit products other than basic deposit products; and
non-cash payment products;
derivatives;
foreign exchange contracts;
general insurance products;
debentures, stocks or bonds issued or proposed to be issued by a government;
life products limited to:
life risk insurance products as well as any products issued by a Registered Life Insurance Company that are backed by one or more of its statutory funds;
interests in managed investment schemes including:
investor directed portfolio services;
securities; and
superannuation; and
underwriting to retail and wholesale clients:
interests in managed investment schemes;
operate the following kinds of registered managed investment schemes (including the holding of any incidental property) to retail and wholesale clients in its capacity as responsible entity:
schemes which only hold the following types of property:
derivatives;
direct real property;
financial assets; and
mortgages; and
IDPS-like schemes; and
provide the following custodial or depository services to retail and wholesale clients:
operate custodial or depository services other than investor directed portfolio services.
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