This licence authorises the licensee to carry on a financial services business to:
provide general 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;
debentures, stocks or bonds issued or proposed to be issued by a government;
interests in managed investment schemes including:
investor directed portfolio services;
securities; and
superannuation;
deal in a financial product by:
issuing, applying for, acquiring, varying or disposing of a financial product in respect of the following classes of financial products:
derivatives;
foreign exchange contracts;
interests in managed investment schemes including:
the investor directed portfolio service known as "Vanguard Personal Investor"; and
securities; 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;
debentures, stocks or bonds issued or proposed to be issued by a government;
interests in managed investment schemes including:
the investor directed portfolio service known as "Vanguard Personal Investor"; and
securities;
operate the following kinds of registered managed investment schemes (including the holding of any incidental property) in its capacity as responsible entity:
schemes which only hold the following types of property:
derivatives; and
financial assets; and
provide the following custodial or depository services:
operate the investor directed portfolio service known as "Vanguard Personal Investor" (the IDPS);
to retail and wholesale clients.
| Name | First provided advice | Qualification and trainings |
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