This licence authorises the licensee to carry on a financial services business to:
provide general financial product advice to retail and wholesale clients for the following classes of financial products:
deposit and payment products including:
basic deposit products; and
non-cash payment products; and
provide general financial product advice to wholesale clients only for the following classes of financial 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; 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:
deposit and payment products including:
basic deposit products;
non-cash payment products; and
foreign exchange contracts; and
issuing, applying for, acquiring, varying or disposing of a financial product to wholesale clients only in respect of the following classes of financial products:
deposit products other than basic deposit products; and
derivatives; and
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:
foreign exchange contracts; and
applying for, acquiring, varying or disposing of a financial product to wholesale clients only 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;
debentures, stocks or bonds issued or proposed to be issued by a government; and
securities; and
make a market to wholesale clients only for the following financial products:
foreign exchange contracts; and
derivatives;
| Name | First provided advice | Qualification and trainings |
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