This licence authorises the licensee to carry on a financial services business to:
provide financial product advice to retail and wholesale clients in relation to the following classes of financial products:
derivatives;
foreign exchange contracts;
debentures, stocks or bonds issued or proposed to be issued by a government;
interests in managed investment schemes excluding investor directed portfolio services;
securities;
provide general financial product advice to retail clients in relation to the following classes of financial products:
carbon units;
Australian carbon credit units; and
eligible international emissions units;
provide financial product advice to wholesale clients in relation to the following classes of financial products:
carbon units;
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;
foreign exchange contracts;
interests in managed investment schemes excluding investor directed portfolio services; and
securities;
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:
derivatives;
foreign exchange contracts;
debentures, stocks or bonds issued or proposed to be issued by a government;
interests in managed investment schemes excluding investor directed portfolio services;
securities;
applying for, acquiring, varying or disposing of a financial product on behalf of another person to wholesale clients in respect of the following classes of products:
carbon units;
Australian carbon credit units; and
eligible international emissions units; and
underwriting to retail and wholesale clients:
interests in managed investment schemes; and
an issue of securities;
make a market to retail and wholesale clients for the following financial products:
foreign exchange contracts;
derivatives;
debentures, stocks or bonds issued or proposed to be issued by a government and/or debentures issued by any other body;
limited to financial products other than:
derivatives;
foreign exchange contracts; and
debentures, stocks or bonds issued or proposed to be issued by a government and/or debentures issued by any other body; and
make a market to wholesale clients for the following financial products:
carbon units;
Australian carbon credit units;
eligible international emissions units; and
provide the following custodial or depository services to retail and wholesale clients:
operate custodial or depository services other than investor directed portfolio services.
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