This licence authorises the licensee to carry on a financial services business to:
provide financial product advice for the following classes of financial products:
deposit and payment products limited to:
non-cash payment products;
derivatives;
foreign exchange contracts;
securities; and
financial products limited to:
miscellaneous financial investment products;
deal in a financial product by:
issuing, applying for, acquiring, varying or disposing of a financial product in respect of the following classes of financial products:
derivatives;
foreign exchange contracts; and
financial products limited to:
miscellaneous financial investment products;
applying for, acquiring, varying or disposing of a financial product on behalf of another person in respect of the following classes of products:
deposit and payment products limited to:
non-cash payment products; and
securities; and
underwriting:
an issue of securities; and
make a market for the following financial products:
foreign exchange contracts;
derivatives; and
debentures, stocks or bonds issued or proposed to be issued by a government and/or debentures issued by any other body;
to wholesale clients.
| Name | First provided advice | Qualification and trainings |
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