This licence authorises the licensee to carry on a financial services business to:
provide general financial product advice to retail clients only for the following classes of financial products:
interests in managed investment schemes excluding investor directed portfolio services; and
securities;
provide financial product advice to wholesale clients only for the following classes of financial products:
securities;
deal in a financial product to both retail and wholesale clients by:
issuing, applying for, acquiring, varying or disposing of a financial product in respect of the following classes of financial products:
derivatives;
interests in managed investment schemes excluding investor directed portfolio services; and
securities;
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;
derivatives;
general insurance products;
interests in managed investment schemes excluding investor directed portfolio services; and
securities;
underwriting:
interests in managed investment schemes; and
an issue of securities;
operate the following kinds of registered managed investment schemes (including the holding of any incidental property) in its capacity as responsible entity:
schemes which only hold the following types of property:
direct real property;
| Name | First provided advice | Qualification and trainings |
|---|