This licence authorises the licensee to carry on a financial services business to:
provide general financial product advice to wholesale and retail clients for the following classes of financial products:
deposit and payment products limited to:
basic deposit products;
interests in managed investment schemes excluding investor directed portfolio services; and
securities;
deal in a financial product by:
issuing, applying for, acquiring, varying or disposing of a financial product to wholesale clients and existing retail clients only in respect of the following classes of financial products:
interests in managed investment schemes limited to:
own managed investment scheme only; and
arranging for another person to issue, apply for, acquire, vary or dispose of a financial product to wholesale and retail clients in respect of the following classes of financial prodcuts:
interests in managed investment schemes excluding investor directed portfolio services;
applying for, acquiring, varying or disposing of a financial product to wholesale and retail clients on behalf of another person in respect of the following classes of products:
deposit and payment products limited to:
basic deposit products;
interests in managed investment schemes excluding investor directed portfolio services; and
securities; and
provide the following custodial or depository services:
operate custodial or depository services other than investor directed portfolio services;
| Name | First provided advice | Qualification and trainings |
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