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Australia Category: Forex
| Regulator | ASIC |
This licence authorises the licensee to carry on a financial services business to:
(a) provide general financial product advice only, for the following classes of financial products: derivatives; foreign exchange contracts; 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
(b) 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; and arranging for another person to issue, apply for, acquire, vary or dispose of a financial product in respect of the following classes of financial products: (A) 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: derivatives; foreign exchange contracts; 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; to retail and wholesale clients.
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