This licence authorises the licensee to carry on a financial services business to:
provide financial product advice for the following classes of financial products:
deposit and payment products limited to:
basic deposit products;
deposit products other than basic deposit 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:
derivatives; and
interests in managed investment schemes limited to:
own managed investment scheme only; 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 limited to:
basic deposit products;
deposit products other than basic deposit products;
derivatives;
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; and
operate the following kinds of registered managed investment schemes (including the holding of any incidental property) in its capacity as responsible entity:
Patersons Australian Equity Fund" scheme (ARSN: 133 443 697),
a scheme which only holds the following types of property:
financial assets; and
Patersons Australian Resources Fund" scheme (ARSN: 144 878 277),
a scheme which only holds the following types of property:
financial assets;
to retail and wholesale clients.
| Name | First provided advice | Qualification and trainings |
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