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:
deposit and payment products limited to:
basic deposit products;
deposit products other than basic deposit 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;
provide general financial product advice to retail and wholesale clients for the following classes of financial products:
deposit and payment products limited to:
basic deposit products;
deposit products other than basic deposit 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; and
securities;
deal in a financial product to retail and wholesale clients by:
issuing, applying for, acquiring, varying or disposing of a financial product in respect of the following classes of financial products:
derivatives;
interests in managed investment schemes limited to:
own managed investment scheme only; and
securities;
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:
basic deposit products;
deposit products other than basic deposit 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
underwriting:
interests in managed investment schemes; and
an issue of securities; and
operate the following kinds of registered managed investment schemes (including the holding of any incidental property) in its capacity as responsible entity to retail and wholesale clients:
DMP Australian Small Caps Trust" scheme (ARSN: 609 023 654),
a scheme which only holds the following types of property:
financial assets; and
DMP Australian Equities Trust" scheme (ARSN: 618 530 475),
a scheme which only holds the following types of property:
financial assets.
provide the following custodial or depository services to retail and wholesale clients:
operate custodial or depository services other than investor directed portfolio services.
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