This licence authorises the licensee to carry on a financial services business to:
provide general financial product advice only, for the following classes of financial products:
derivatives;
interests in managed investment schemes excluding investor directed portfolio services;
Australian carbon credit units;
eligible international emissions units; and
financial products limited to:
miscellaneous financial investment products limited to emission units-based facilities;
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;
interests in managed investment schemes excluding investor directed portfolio services; and
financial products limited to:
miscellaneous financial investment products limited to emission units-based facilities; and
applying for, acquiring, varying or disposing of a financial product on behalf of another person in respect of the following classes of products:
derivatives;
interests in managed investment schemes excluding investor directed portfolio services;
Australian carbon credit units;
eligible international emissions units; and
financial products limited to:
miscellaneous financial investment products limited to emission units-based facilities; and
make a market for the following financial products:
derivatives;
Australian carbon credit units; and
eligible international emissions units;
to wholesale clients.
| Name | First provided advice | Qualification and trainings |
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