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 limited to:
basic deposit products;
deposit products other than basic deposit products;
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; and
standard margin lending facility;
provide financial product advice to wholesale clients for the following classess of financial products:
derivatives;
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;
interests in managed investment schemes limited to:
MDA services; and
securities;
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:
debentures, stocks or bonds issued or proposed to be issued by a government;
interests in managed investment schemes including:
investor directed portfolio services;
securities; and
standard margin lending facility; and
applying for, acquiring, varying or disposing of a financial product to wholesale clients on behalf of another person in the following classess of products:
derivatives; and
underwriting to retail and wholesale clients:
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.
| Name | First provided advice | Qualification and trainings |
|---|