This licence authorises the licensee to carry on a financial services business to:
provide financial product advice for the following classes of financial products:
deposit and payment products limited to:
basic deposit products;
deposit products other than basic deposit products;
derivatives;
foreign exchange contracts;
interests in managed investment schemes excluding investor directed portfolio services;
securities; and
financial products limited to:
miscellaneous financial investment products limited to MDA services;
deal in a financial product by:
issuing, applying for, acquiring, varying or disposing of a financial product, only as trustee and manager of managed investment schemes and as operator of miscellaneous financial investment products limited to MDA services in respect of the following classes of financial products:
derivatives;
foreign exchange contracts;
interests in managed investment schemes limited to:
own managed investment scheme only; and
financial products limited to:
miscellaneous financial investment products limited to MDA services; and
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;
deposit products other than basic deposit products;
derivatives;
foreign exchange contracts; and
interests in managed investment schemes excluding investor directed portfolio services; and
provide the following custodial or depository services:
operate custodial or depository services other than investor directed portfolio services;
to wholesale clients.
| Name | First provided advice | Qualification and trainings |
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