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;
derivatives;
debentures, stocks or bonds issued or proposed to be issued by a government;
interests in managed investment schemes excluding investor directed portfolio services; and
securities; and
deal in a financial product by:
issuing, applying for, acquiring, varying or disposing of a financial product to wholesale and retail clients in respect of the following classes of financial products:
securities;
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; 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;
derivatives;
debentures, stocks or bonds issued or proposed to be issued by a government;
interests in managed investment schemes excluding investor directed portfolio services; and
securities; and
underwriting:
an issue of securities;
to retail and wholesale clients.
| Name | First provided advice | Qualification and trainings |
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