This licence authorises the licensee to carry on a financial services business to:
provide general financial product advice 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;
general insurance products;
debentures, stocks or bonds issued or proposed to be issued by a government;
interests in managed investment schemes including:
investor directed portfolio services;
retirement savings accounts ("RSA") products (within the meaning of the Retirement Savings Account Act 1997);
securities; and
superannuation;
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 limited to:
non-cash payment products;
derivatives;
interests in managed investment schemes excluding investor directed portfolio services; and
securities; 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;
general insurance products;
debentures, stocks or bonds issued or proposed to be issued by a government;
interests in managed investment schemes including:
investor directed portfolio services;
retirement savings accounts ("RSA") products (within the meaning of the Retirement Savings Account Act 1997);
securities; and
superannuation;
operate the following kinds of registered managed investment schemes (including the holding of any incidental property) in its capacity as responsible entity:
schemes which only hold the following types of property:
derivatives;
direct real property;
financial assets; and
mortgages;
provide the following custodial or depository services:
operate custodial or depository services other than investor directed portfolio services;
operate the business and conduct the affairs of a retail CCIV(s) which only holds the following types of CCIV assets (including the holding of any incidental property);
Derivatives;
Direct Real Property;
Financial assets; and
Mortgages; and
operate the business and conduct the affairs of a wholesale CCIV(s) which only holds the following types of CCIV assets (including the holding of any incidental property):
Derivatives;
Direct Real Property;
Financial assets; and
Mortgages;
to retail and wholesale clients.
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