provide 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;
interests in managed investment schemes limited to:
MDA services;
securities;
standard margin lending facility; and
provide financial product advice to wholesale clients only for the following classes of financial products:
non-standard margin lending facility; and
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;
foreign exchange contracts;
interests in managed investment schemes limited to:
own managed investment scheme only;
interests in managed investment schemes limited to:
MDA services; and
deal in a financial product to wholesale clients only by:
issuing, applying for, acquiring, varying or disposing of a financial product in respect of the following classes of financial products:
non-standard margin lending facility; and
deal in a financial product to retail and wholesale clients by:
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;
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;
interests in managed investment schemes limited to:
MDA services;
securities;
standard margin lending facility; and
deal in a financial product to wholesale clients only by:
applying for, acquiring, varying or disposing of a financial product on behalf of another person in respect of the following classes of products:
non-standard margin lending facility; and
deal in a financial product to retail and wholesale clients by:
underwriting:
interests in managed investment schemes;
an issue of securities; and
make a market to retail and wholesale clients for the following financial products:
foreign exchange contracts;
derivatives; 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 |
|---|