This licence authorises the licensee to carry on a financial services business to:
provide financial product advice to wholesale clients for the following classes of financial products:
derivatives;
debentures, stocks or bonds issued or proposed to be issued by a government;
interests in managed investment schemes including:
investor directed portfolio services;
securities;
Australian carbon credit units; and
eligible international emissions units; and
provide general financial product advice to retail clients for the following classes of financial products:
derivatives;
debentures, stocks or bonds issued or proposed to be issued by a government;
interests in managed investment schemes including:
investor directed portfolio services; and
securities; and
deal in a financial product by:
arranging for another person to issue, apply for, acquire, vary or dispose of a financial product to wholesale clients in respect of the following classes of financial products:
derivatives, limited to those where the amount of the consideration or the value of the arrangement is ultimately determined or derives from or varies by reference to the value of an instrument, right or obligation that is or relates to:
an Australian carbon credit units; and
an eligible international emissions units; and
the generation of renewable energy or any other energy efficiency measure, whether it is issued or created in Australia or elsewhere; or
the offset or the reduction in the emission of gases into the atmosphere, whether it is issued or created in Australia or elsewhere;
debentures, stocks or bonds issued or proposed to be issued by a government;
interests in managed investment schemes excluding investor directed portfolio services; and
securities; and
arranging for another person to apply for, acquire, vary or dispose of financial products to wholesale clients in respect of the following classes of financial products:
Australian carbon credit units; and
eligible international emissions units; and
arranging for another person to apply for, acquire, vary or dispose of financial products to retail and wholesale clients in respect of the following classes of financial products:
derivatives.
| Name | First provided advice | Qualification and trainings |
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