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:
derivatives;
interests in managed investment schemes excluding investor directed portfolio services;
securities;
Australian carbon credit units; and
eligible international emissions units;
provide financial product advice to wholesale clients for the following classes of financial products:
derivatives;
interests in managed investment schemes excluding investor directed portfolio services;
securities;
Australian carbon credit units; and
eligible international emissions units;
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; and
interests in managed investment schemes limited to:
own managed investment scheme only; 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;
derivatives;
foreign exchange contracts;
interests in managed investment schemes excluding investor directed portfolio services;
securities;
Australian carbon credit units; and
eligible international emissions units;
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; and
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 |
|---|