This licence authorises the licensee to carry on a financial services business to:
provide financial product advice for 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; and
financial products limited to miscellaneous financial investment products limited to managed investment warrants:
to which the definition of derivative in sub section 761D(1) applies that is a financial product of the kind referred to in subparagraph 764A(1)(b)(ii) or 764A(1)(ba)(ii); and
that is transferable; and
that is a warrant as defined in the Operating Rules of a financial market that is operated by an Australian market licensee and has been admitted to trading status or quotation on a financial market in accordance with the Operating Rules of the financial market;
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;
debentures, stocks or bonds issued or proposed to be issued by a government;
interests in managed investment schemes excluding investor directed portfolio services;
securities; and
financial products limited to miscellaneous financial investment products limited to managed investment warrants:
to which the definition of derivative in sub section 761D(1) applies that is a financial product of the kind referred to in subparagraph 764A(1)(b)(ii) or 764A(1)(ba)(ii); and
that is transferable; and
that is a warrant as defined in the Operating Rules of a financial market that is operated by an Australian market licensee and has been admitted to trading status or quotation on a financial market in accordance with the Operating Rules of the financial market;
applying for, acquiring, varying or disposing of a financial product on behalf of another person 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; and
financial products limited to miscellaneous financial investment products limited to managed investment warrants:
to which the definition of derivative in sub section 761D(1) applies that is a financial product of the kind referred to in subparagraph 764A(1)(b)(ii) or 764A(1)(ba)(ii); and
that is transferable; and
that is a warrant as defined in the Operating Rules of a financial market that is operated by an Australian market licensee and has been admitted to trading status or quotation on a financial market in accordance with the Operating Rules of the financial market;
underwriting:
interests in managed investment schemes; and
an issue of securities;
make a market for the following financial products:
derivatives;
debentures, stocks or bonds issued or proposed to be issued by a government and/or debentures issued by any other body; and
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
provide the following custodial or depository services:
operate custodial or depository services other than investor directed portfolio services;
to retail and wholesale clients.
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