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:
interests in managed investment schemes limited to:
litigation funding scheme; and
litigation funding schemes; and
provide general financial product advice to wholesale clients for the following classes of financial products:
interests in managed investment schemes excluding investor directed portfolio services;
litigation funding schemes;
deal in a financial product by:
issuing, applying for, acquiring, varying or disposing of a financial product to retail clients in respect of the following classes of financial products:
interests in managed investment schemes limited to:
litigation funding scheme;
litigation funding schemes;
issuing, applying for, acquiring, varying or disposing of a financial product to wholesale clients in respect of the following classes of financial products:
interests in managed investment schemes excluding investor directed portfolio services;
litigation funding schemes;
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:
general insurance products; and
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:
interests in managed investment schemes excluding investor directed portfolio services;
operate the following kinds of registered managed investment schemes (including the holding of any incidental property) in its capacity as responsible entity to retail and wholesale clients:
litigation funding scheme; and
provide the following custodial or depository services to wholesale clients:
operate custodial or depository services other than investor directed portfolio services.
| Name | First provided advice | Qualification and trainings |
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