This licence authorises the licensee to carry on a financial services business to:
provide financial product advice to retail and wholesale clients for the following classes of financial products:
deposit and payment products limited to:
basic deposit products;
derivatives;
foreign exchange contracts;
interests in managed investment schemes excluding investor directed portfolio services;
interests in managed investment schemes limited to:
MDA services; and
securities;
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
foreign exchange contracts; and
issuing, applying for, acquiring, varying or disposing of a financial product to retail clients only in respect of the following classes of financial products:
interests in managed investment schemes limited to:
MDA services; and
issuing, applying for, acquiring, varying or disposing of a financial product to wholesale clients only in respect of the following classes of financial products:
interests in managed investment schemes limited to:
own managed investment scheme only;
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; and
securities
| Name | First provided advice | Qualification and trainings |
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