This licence authorises the licensee to carry on a financial services business to:
provide financial product advice for the following classes of financial products to wholesale clients only:
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 excluding investor directed portfolio services; and
securities;
provide general financial product advice for the following classes of financial products to retail clients only:
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 in respect of the following classes of financial products:
derivatives; and
foreign exchange contracts; and
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;
non-cash payment products;
derivatives;
foreign exchange contracts;
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;
to wholesale clients; and.
applying for, acquiring, varying or disposing of a financial product on behalf of another person in respect of the following classes of financial products:
securities;
to retail clients.
| Name | First provided advice | Qualification and trainings |
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