This licence authorises the licensee, only for the purpose of acting for and on behalf of clients in relation to mergers and acquisitions, joint ventures, corporate reconstructions, capital raisings and company valuations, to carry on a financial services business to:
provide general financial product advice only, for the following classes of financial products:
debentures, stocks or bonds issued or proposed to be issued by a government;
interests in managed investment schemes including:
investor directed portfolio services; and
securities; and
deal in a financial product by:
arranging for another person to apply for, acquire, vary or dispose of financial products in respect of the following classes of financial products:
debentures, stocks or bonds issued or proposed to be issued by a government;
interests in managed investment schemes including:
investor directed portfolio services; and
securities;
to wholesale clients.
| Name | First provided advice | Qualification and trainings |
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