This licence authorises the licensee to carry on a financial services business to:
provide financial product advice to wholesale clients only for the following classes of financial products:
deposit and payment products limited to:
basic deposit products;
derivatives;
debentures, stocks or bonds issued or proposed to be issued by a government;
life products limited to:
life risk insurance products as well as any products issued by a Registered Life Insurance Company that are backed by one or more of its statutory funds;
interests in managed investment schemes excluding investor directed portfolio services;
securities;
superannuation;
Australian carbon credit units; and
eligible international emissions units;
provide general financial product advice to retail clients for the following classes of financial products:
deposit and payment products limited to:
basic deposit products;
debentures, stocks or bonds issued or proposed to be issued by a government;
life products limited to:
life risk insurance products as well as any products issued by a Registered Life Insurance Company that are backed by one or more of its statutory funds;
interests in managed investment schemes excluding investor directed portfolio services;
securities;
superannuation;
Australian carbon credit units; and
eligible international emissions units;
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;
interests in managed investment schemes excluding investor directed portfolio services; and
securities; and
arranging for another person to issue, apply for, acquire, vary or dispose of a financial product to retail clients in respect of the following classes of financial products:
interests in managed investment schemes excluding investor directed portfolio services; and
securities;
applying for, acquiring, varying or disposing of a financial product on behalf of another person to retail and wholesale clients in respect of the following classes of products:
deposit and payment products limited to:
basic deposit products;
debentures, stocks or bonds issued or proposed to be issued by a government;
life products limited to:
life risk insurance products as well as any products issued by a Registered Life Insurance Company that are backed by one or more of its statutory funds;
interests in managed investment schemes excluding investor directed portfolio services;
securities;
superannuation;
Australian carbon credit units; and
eligible international emissions units; and
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:
derivatives;
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 |
|---|