This licence authorises the licensee to carry on a financial services business to:
provide general financial product advice only, for the following classes of financial products:
derivatives;
foreign exchange contracts;
interests in managed investment schemes excluding investor directed portfolio services; and
securities; and
deal in a financial product by:
arranging for another person to issue, apply for, acquire, vary or dispose of a financial product in respect of the following classes of financial products:
derivatives;
foreign exchange contracts;
interests in managed investment schemes excluding investor directed portfolio services; and
securities;
to wholesale clients.
| Name | First provided advice | Qualification and trainings |
|---|