This licence authorises the licensee to carry on a financial services business to:
provide general financial product advice to retail clients for the following classes of financial products:
deposit and payment products limited to:
basic deposit products;
deposit products other than basic deposit products;
general insurance products;
interests in managed investment schemes including:
investor directed portfolio services;
securities;
superannuation; and
financial products limited to:
miscellaneous financial risk products limited to mutual risk products;
provide financial product advice to wholesale clients for the following classes of financial products:
deposit and payment products limited to:
basic deposit products;
deposit products other than basic deposit products;
derivatives;
foreign exchange contracts;
general insurance products;
interests in managed investment schemes including:
investor directed portfolio services;
securities;
superannuation; and
financial products limited to:
miscellaneous financial risk products limited to mutual risk products; and
deal in a financial product by:
arranging for another person to issue, apply for, acquire, vary or dispose of a financial product to retail and wholesale clients in respect of the following classes of financial products:
financial products limited to:
miscellaneous financial risk products limited to mutual risk products;
arranging for another person to issue, apply for, acquire, vary or dispose of a financial product to wholesale clients in respect of the following classes of financial products:
derivatives;
foreign exchange contracts; and
superannuation;
applying for, acquiring, varying or disposing of a financial product on behalf of another person to retail and wholesale clients in respect of the following classes of products:
deposit and payment products limited to:
basic deposit products;
deposit products other than basic deposit products;
general insurance products;
interests in managed investment schemes including:
investor directed portfolio services;
securities;
superannuation; and
financial products limited to:
miscellaneous financial risk products limited to mutual risk products; and
applying for, acquiring, varying or disposing of a financial product on behalf of another person to wholesale clients in respect of the following classes of products:
derivatives; and
foreign exchange contracts.
| Name | First provided advice | Qualification and trainings |
|---|