This licence authorises the licensee to carry on a financial services business to:
provide general financial product advice for the following classes of financial products:
deposit and payment products limited to:
basic deposit products;
derivatives;
debentures, stocks or bonds issued or proposed to be issued by a government;
interests in managed investment schemes including:
investor directed portfolio services;
securities;
standard margin lending facility; and
financial products limited to miscellaneous financial investment products limited to managed investment warrants:
to which the definition of derivative in sub section 761D(1) applies that is a financial product of the kind referred to in subparagraph 764A(1)(b)(ii) or 764A(1)(ba)(ii); and
the is transferable; and
that is a warrant as defined in the ASX Operating Rule that has been admitted by the ASX to trading status on a financial market of the ASX; 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:
standard margin lending facility; 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;
debentures, stocks or bonds issued or proposed to be issued by a government;
interests in managed investment schemes including:
investor directed portfolio services;
securities;
standard margin lending facility; and
financial products limited to miscellaneous financial investment products limited to managed investment warrants:
to which the definition of derivative in sub section 761D(1) applies that is a financial product of the kind referred to in subparagraph 764A(1)(b)(ii) or 764A(1)(ba)(ii); and
that is transferable; and
that is a warrant as defined in the ASX Operating Rule that has been admitted by the ASX to trading status on a financial market of the ASX;
to retail and wholesale clients.
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