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:
Australian carbon credit units to wholesale clients;
basic deposit products to retail and wholesale clients;
debentures, stocks or bonds issued or proposed to be issued by a government to retail and wholesale clients;
derivatives to retail and wholesale clients;
eligible international emissions units to wholesale clients;
foreign exchange contracts to retail and wholesale clients;
managed investment schemes excluding IDPS to retail and wholesale clients;
non-basic deposit products to retail and wholesale clients; and
securities to retail and wholesale clients.
Deal in a financial product limited to issue, apply for, acquire, vary or dispose of a financial product limited to:
basic deposit products to retail and wholesale clients;
debentures, stocks or bonds issued or proposed to be issued by a government to retail and wholesale clients;
derivatives to retail and wholesale clients;
foreign exchange contracts to retail and wholesale clients;
managed investment schemes excluding IDPS to retail and wholesale clients;
non-basic deposit products to retail and wholesale clients; and
securities to retail and wholesale clients.
Deal in a financial product limited to issue, apply for, acquire, vary or dispose of a financial product limited to:
Australian carbon credit units to wholesale clients;
basic deposit products to retail and wholesale clients;
debentures, stocks or bonds issued or proposed to be issued by a government to retail and wholesale clients;
derivatives to retail and wholesale clients;
eligible international emissions units to wholesale clients;
foreign exchange contracts to retail and wholesale clients;
managed investment schemes excluding IDPS to retail and wholesale clients;
non-basic deposit products to retail and wholesale clients; and
securities to retail and wholesale clients.
Deal in a financial product limited to underwrite a financial product limited to:
managed investment schemes to retail and wholesale clients; and
securities to retail and wholesale clients.
Make a market for a financial product limited to:
Australian carbon credit units to wholesale clients;
debentures, stocks or bonds issued or proposed to be issued by a government to retail and wholesale clients;
derivatives to retail and wholesale clients;
eligible international emissions units to wholesale clients; and
foreign exchange contracts to retail and wholesale clients;
Provide a custodial or depository service other than IDPS to retail and wholesale clients.
| Name | First provided advice | Qualification and trainings |
|---|