This licence authorises the licensee to carry on a financial services business to:
provide financial product advice to both 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;
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;
securities;
superannuation;
carbon units;
Australian carbon credit units;
eligible international emissions units; and
deal in a financial product by:
issuing, applying for, acquiring, varying or disposing of a financial product to wholesale clients only in respect of the following classes of financial products:
derivatives;
foreign exchange contracts; and
arranging for another person to issue, apply for, acquire, vary or dispose of a financial product to both retail and wholesale clients in respect of 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 excluding investor directed portfolio services;
securities; and
applying for, acquiring, varying or disposing of a financial product on behalf of another person to both retail and wholesale clients 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;
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;
securities;
carbon units;
Australian carbon credit units;
eligible international emissions units; and
arranging for another person to underwrite for both retail and wholesale clients:
interests in managed investment schemes; and
an issue of securities.
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