This licence authorises the licensee to carry on a financial services business to:
provide financial product advice to retail and wholesale clients for the following classes of financial products:
deposit and payment products including:
basic deposit products;
deposit products other than basic deposit products;
non-cash payment products;
derivatives;
foreign exchange contracts;
debentures, stocks or bonds issued or proposed to be issued by a government;
interests in managed investment schemes including:
investor directed portfolio services;
securities;
financial products limited to:
miscellaneous financial investment products;
provide financial product advice to wholesale clients only for the following classes of financial products:
standard margin lending facility;
carbon units;
Australian carbon credit units;
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:
deposit and payment products including:
basic deposit products;
deposit products other than basic deposit products;
non-cash payment products;
derivatives;
foreign exchange contracts;
debentures, stocks or bonds issued or proposed to be issued by a government;
interests in managed investment schemes including:
investor directed portfolio services;
securities;
financial products limited to:
miscellaneous financial investment products;
issuing, applying for, acquiring, varying or disposing of a financial product to wholesale clients only in respect of the following classes of financial products:
standard margin lending facility;
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:
deposit and payment products including:
basic deposit products;
deposit products other than basic deposit products;
non-cash payment products;
derivatives;
foreign exchange contracts;
debentures, stocks or bonds issued or proposed to be issued by a government;
interests in managed investment schemes including:
investor directed portfolio services;
securities;
financial products limited to:
miscellaneous financial investment products;
applying for, acquiring, varying or disposing of a financial product on behalf of another person to wholesale clients only in respect of the following classes of products:
standard margin lending facility;
carbon units;
Australian carbon credit units;
eligible international emissions units;
underwriting:
interests in managed investment schemes;
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;
debentures, stocks or bonds issued or proposed to be issued by a government and/or debentures issued by any other body;
make a market to wholesale clients only for the following financial products:
carbon units;
Australian carbon credit units;
eligible international emissions units;
provide the following custodial or depository services to retail and wholesale clients:
operate investor directed portfolio services (each of which is referred to as the IDPS); and
operate custodial or depository services other than investor directed portfolio services;
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