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 limited to:
deposit and payment products limited to:
basic deposit products;
deposit products other than basic deposit products;
derivatives;
foreign exchange contracts;
debentures, stocks or bonds issued or proposed to be issued by a government;
interests in managed investment schemes including:
investor directed portfolio services;
securities; and
provide personal financial product advice to wholesale clients only for the following classes of financial products limited to:
deposit and payment products limited to:
basic deposit products;
deposit products other than basic deposit products;
derivatives;
foreign exchange contracts;
debentures, stocks or bonds issued or proposed to be issued by a government;
interests in managed investment schemes including:
investor directed portfolio services;
securities; and
deal in a financial product by:
issuing, applying for, acquiring, varying or disposing of a financial product in respect of the following financial products limited to:
derivatives;
foreign exchange contracts;
interests in managed investment schemes including:
investor directed portfolio services;
applying for, acquiring, varying or disposing of a financial product on behalf of another person in respect of the following financial products limited to:
deposit and payment products limited to:
basic deposit products;
deposit products other than basic deposit products; and
derivatives;
foreign exchange contracts;
debentures, stocks or bonds issued or proposed to be issued by a government;
interests in managed investment schemes including:
investor directed portfolio services;
securities; and
provide the following custodial or depository services:
operate custodial or depository services other than investor directed portfolio services;
to retail and wholesale clients.
| Name | First provided advice | Qualification and trainings |
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