This licence authorises the licensee to carry on a financial services business to:
provide general financial product advice only, 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;
interests in managed investment schemes excluding investor directed portfolio services;
securities; and
miscellaneous financial investment products limited to:
debt securities limited to financial products that would be debentures (as defined by section 9 of the Corporations Act 2001) but for the exemptions in paragraphs (a) to (f) of that definition; 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:
deposit and payment products including:
basic deposit products;
deposit products other than basic deposit products; and
non-cash payment products;
derivatives;
foreign exchange contracts;
interests in managed investment schemes excluding investor directed portfolio services;
securities; and
miscellaneous financial investment products limited to:
debt securities limited to financial products that would be debentures (as defined by section 9 of the Corporations Act 2001) but for the exemptions in paragraphs (a) to (f) of that definition; 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 including:
basic deposit products;
deposit products other than basic deposit products; and
non-cash payment products;
derivatives;
foreign exchange contracts;
interests in managed investment schemes excluding investor directed portfolio services;
securities; and
miscellaneous financial investment products limited to:
debt securities limited to financial products that would be debentures (as defined by section 9 of the Corporations Act 2001) but for the exemptions in paragraphs (a) to (f) of that definition;
to wholesale clients.
| Name | First provided advice | Qualification and trainings |
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