This licence authorises the licensee to carry on a financial services business to:
provide financial product advice to retail clients for the following classes of financial products:
derivatives;
interests in managed investment schemes excluding investor directed portfolio services;
securities;
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;
interests in managed investment schemes including:
investor directed portfolio services;
securities;
standard margin lending facility; 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:
derivatives;
interests in managed investment schemes excluding investor directed portfolio services;
securities; and
applying for, acquiring, varying or disposing of a financial product on behalf of another person to retail clients 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;
interests in managed investment schemes excluding investor directed portfolio services;
securities; and
applying for, acquiring, varying or disposing of a financial product on behalf of another person to 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; and
derivatives;
interests in managed investment schemes including:
investor directed portfolio services;
securities;
standard margin lending facility; and
provide the following custodial or depository services to retail and wholesale clients:
operate custodial or depository services other than investor directed portfolio services.
| Name | First provided advice | Qualification and trainings |
|---|