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