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;
foreign exchange contracts;
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;
provide general financial product advice to retail clients for the following classes of financial products:
interests in managed investment schemes excluding investor directed portfolio services; 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;
foreign exchange contracts; and
interests in managed investment schemes excluding investor directed portfolio services; 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:
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;
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:
ECP Global Growth Fund (Aust)" scheme (ARSN: 679 892 285),
a scheme which only holds the following types of property:
financial assets; and
EC Pohl Mid Market Opportunities Fund" scheme (ARSN: 679 894 163),
a scheme which only holds the following types of property:
financial assets; and
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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