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:
derivatives;
foreign exchange contracts;
interests in managed investment schemes excluding investor directed portfolio services; and
securities;
deal in a financial product to both 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;
foreign exchange contracts;
interests in managed investment schemes excluding investor directed portfolio services; and
securities; and
applying for, acquiring, varying or disposing of a financial product on behalf of another person in respect of the following classes of products:
derivatives;
foreign exchange contracts;
interests in managed investment schemes excluding investor directed portfolio services; and
securities; and
provide the following custodial or depository services to both retail and wholesale clients:
operate custodial or depository services other than investor directed portfolio services;
| Name | First provided advice | Qualification and trainings |
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