This licence authorises the licensee to carry on a financial services business to:
deal in a financial product by:
applying for, acquiring, varying or disposing of a financial product on behalf of another person in respect of the following classes of products:
derivatives limited to:
old law securities options contracts and warrants;
interests in managed investment schemes excluding investor directed portfolio services; and
securities;
to retail clients (limited to employees and officers of the licensee) and wholesale clients.
| Name | First provided advice | Qualification and trainings |
|---|