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 limited to:
old law securities options contracts and warrants;
interests in managed investment schemes including:
investor directed portfolio services; and
securities; and
provide financial product advice to wholesale clients only for the following classes of financial products
derivatives limited to:
old law securities options contracts and warrants;
interests in managed investment schemes including:
investor directed portfolio services; and
securities; and
deal in a financial product to wholesale clients only by:
arranging for another person to apply for, acquire, vary or dispose of financial products in respect of the following classes of financial products:
interests in managed investment schemes including:
investor directed portfolio services; and
securities;
The authorisation in relation to providing financial product advice and arranging in relation to managed investment schemes authorises the licensee only in the capacity of providing reports for the purposes of acting for and on behalf of wholesale clients in relation to proposed or actual mergers, acquisitions, takeovers, corporate restructures or share issues, or other expert reports.
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