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;
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; and
provide general 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;
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; 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;
interests in managed investment schemes excluding investor directed portfolio services; and
securities;
applying for, acquiring, varying or disposing of a financial product on behalf of another person to retail and wholesale clients 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;
general insurance products;
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; and
underwriting to retail and wholesale clients:
interests in managed investment schemes; and
an issue of securities; and
provide the following custodial or depository services to retail and wholesale clients:
operate custodial or depository services other than investor directed portfolio services; and
operate the business and conduct the affairs of a wholesale CCIV(s) which only holds the following types of CCIV assets (including the holding of any incidental property):
Derivatives;
Direct Real Property;
Financial assets; and
Mortgages.
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