This licence authorises the licensee to carry on a financial services business to:
provide financial product advice to retail and wholesale clients for the following classes of financial products:
deposit and payment products including:
basic deposit products;
deposit products other than basic deposit products; and
non-cash payment products;
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; and
provide financial product advice to wholesale clients for the following classes of financial products:
derivatives;
foreign exchange contracts;
standard margin lending facility; and
non-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:
interests in managed investment schemes excluding investor directed portfolio services; and
securities; and
issuing, applying for, acquiring, varying or disposing of a financial product to wholesale clients in respect of the following classes of financial products:
derivatives;
foreign exchange contracts;
standard margin lending facility; and
non-standard margin lending facility; 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 including:
basic deposit products;
deposit products other than basic deposit products; and
non-cash payment products;
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; and
applying for, acquiring, varying or disposing of a financial product to wholesale clients on behalf of another person in respect of the following classes of products:
derivatives;
foreign exchange contracts;
standard margin lending facility; and
non-standard margin lending facility; and
underwriting to retail and wholesale clients:
interests in managed investment schemes; and
an issue of securities; and
make a market to wholesale clients for the following financial products:
foreign exchange contracts;
derivatives;
debentures, stocks or bonds issued or proposed to be issued by a government and/or debentures issued by any other body; and
limited to financial products other than:
derivatives;
foreign exchange contracts; and
debentures, stocks or bonds issued or proposed to be issued by a government and/or debentures issued by any other body; 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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