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:
deposit and payment products limited to:
basic deposit products;
deposit products other than basic deposit products;
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 excluding investor directed portfolio services;
securities; and
superannuation;
deal in a financial product by:
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; and
securities; and
applying for, acquiring, varying or disposing of a financial product on behalf of another person to retail and wholesale clients in respect of the following classes of products:
deposit and payment products limited to:
basic deposit products;
deposit products other than basic deposit products;
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 excluding investor directed portfolio services;
securities; and
superannuation; and
provide the following custodial or depository services to wholesale clienets only:
operate custodial or depository services other than investor directed portfolio services;
| Name | First provided advice | Qualification and trainings |
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