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