This licence authorises the licensee to carry on a financial services business to:
provide general financial product advice to wholesale clients only for the following classes of financial products:
debentures, stocks or bonds issued or proposed to be issued by a government; and
provide general financial product advice to retail and wholesale clients for the following classes of financial products:
securities; and
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:
securities;
arranging for another person to issue, apply for, acquire, vary or dispose of a financial product to wholesale clients only in respect of the following classes of financial products:
debentures, stocks or bonds issued or proposed to be issued by a government; and
applying for, acquiring, varying or disposing of a financial product to wholesale clients only on behalf of another person in respect of the following classes of products:
debentures, stocks or bonds issued or proposed to be issued by a government; and
applying for, acquiring, varying or disposing of a financial product to retail and wholesale clients on behalf of another person in respect of the following classes of products:
securities; and
underwriting to retail and wholesale clients:
an issue of securities.
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