This licence authorises the licensee to carry on a financial services business to provide financial service(s) limited to:
Provide financial product advice limited to personal and general financial product advice limited to:
basic deposit products to retail and wholesale clients;
debentures, stocks or bonds issued or proposed to be issued by a government to wholesale clients;
derivatives limited to those used for hedging purposes to wholesale clients;
financial products limited to miscellaneous financial risk products limited to mutual risk products to retail and wholesale clients;
foreign exchange contracts to wholesale clients;
general insurance products to retail and wholesale clients;
life products limited to investment life insurance products to retail and wholesale clients;
life products limited to life risk insurance products to retail and wholesale clients;
managed investment schemes including IDPS to retail and wholesale clients;
margin lending facilities limited to standard facilities to wholesale clients;
non-basic deposit products to retail and wholesale clients;
non-cash payment products to wholesale clients;
retirement savings accounts to retail and wholesale clients;
securities to retail and wholesale clients; and
superannuation to retail and wholesale clients.
Provide financial product advice limited to general financial product advice limited to:
debentures, stocks or bonds issued or proposed to be issued by a government to retail clients;
derivatives limited to those used for hedging purposes to retail clients;
foreign exchange contracts to retail clients;
margin lending facilities limited to standard facilities to retail clients; and
non-cash payment products to retail clients.
Deal in a financial product limited to issue, apply for, acquire, vary or dispose of a financial product limited to:
managed investment schemes limited to own managed investment schemes to wholesale clients.
Deal in a financial product limited to apply for, acquire, vary or dispose of a financial product on behalf of another person limited to:
basic deposit products to retail and wholesale clients;
derivatives limited to those used for hedging purposes to retail and wholesale clients;
financial products limited to miscellaneous financial risk products limited to mutual risk products to retail and wholesale clients;
foreign exchange contracts to retail and wholesale clients;
general insurance products to retail and wholesale clients;
managed investment schemes including IDPS to retail and wholesale clients;
non-basic deposit products to retail and wholesale clients;
securities to retail and wholesale clients; and
superannuation to retail and wholesale clients.
Deal in a financial product limited to arrange for another person to issue, apply for, acquire, vary or dispose of a financial product limited to:
derivatives limited to those used for hedging purposes to wholesale clients;
financial products limited to miscellaneous financial risk products limited to mutual risk products to retail and wholesale clients;
foreign exchange contracts to wholesale clients; and
superannuation to wholesale clients.
Provide a custodial or depository service other than IDPS to wholesale clients.
Provide a claims handling and settling service as or on behalf of the insurer, make a recommendation or state an opinion where the recommendation or statement of opinion:
is made in response to an inquiry by or on behalf of another person about an existing or potential claim by that person under an insurance product to retail and wholesale clients; and
could reasonably be expected to influence a decision whether to continue with the existing claim or to make the potential claim to retail and wholesale clients.
Provide a claims handling and settling service as or on behalf of the insurer, assist another person to make a claim under an insurance product to retail and wholesale clients.
Provide a claims handling and settling service as or on behalf of the insurer, assess whether an insurer has a liability under an insurance product or provide assistance in such an assessment to retail and wholesale clients.
Provide a claims handling and settling service as or on behalf of the insurer, make a decision to accept or reject all or part of a claim under an insurance product to retail and wholesale clients.
Provide a claims handling and settling service as or on behalf of the insurer, quantify the extent of the insurer's liability to another person under an insurance product or provide assistance in quantifying the extent of such a liability
to retail and wholesale clients.
Provide a claims handling and settling service as or on behalf of the insurer, offer to settle all or part of a claim under an insurance product to retail and wholesale clients.
Provide a claims handling and settling service as or on behalf of the insurer, satisfy a liability of the insurer under an insurance product in full or partial settlement of a claim under the insurance product to retail and wholesale
clients.
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