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Condition start date time 31/07/2007 |
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1. |
This licence authorises the licensee to carry on a financial services business to: |
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(a) |
provide financial product advice for the following classes of financial products: |
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(i) |
deposit and payment products limited to: |
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(A) |
basic deposit products; |
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(B) |
deposit products other than basic deposit products; |
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(ii) |
derivatives; |
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(iii) |
foreign exchange contracts; |
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(iv) |
general insurance products; |
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(v) |
debentures, stocks or bonds issued or proposed to be issued by a government; |
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(vi) |
life products including: |
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(A) |
investment life insurance products as well as any products issued by a Registered Life Insurance Company that are backed by one or more of its statutory funds; and |
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(B) |
life risk insurance products as well as any products issued by a Registered Life Insurance Company that are backed by one or more of its statutory funds; |
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(vii) |
interests in managed investment schemes including: |
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(A) |
investor directed portfolio services; |
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(viii |
interests in managed investment schemes limited to: |
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(B) |
MDA services; |
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(ix) |
retirement savings accounts ("RSA") products (within the meaning of the Retirement Savings Account Act 1997); |
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(x) |
securities; and |
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(xi) |
superannuation; and |
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(b) |
deal in a financial product by: |
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(i) |
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: |
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(A) |
derivatives; |
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(B) |
foreign exchange contracts; and |
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(C) |
securities; and |
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(ii) |
arranging for another person to apply for, acquire, vary or dispose of financial products in respect of the following classes of financial products: |
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(A) |
deposit and payment products limited to: |
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(1) |
basic deposit products; |
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(2) |
deposit products other than basic deposit products; |
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(B) |
derivatives; |
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(C) |
foreign exchange contracts; |
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(D) |
general insurance products; |
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(E) |
debentures, stocks or bonds issued or proposed to be issued by a government; |
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(F) |
life products including: |
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(1) |
investment life insurance products as well as any products issued by a Registered Life Insurance Company that are backed by one or more of its statutory funds; and |
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(2) |
life risk insurance products as well as any products issued by a Registered Life Insurance Company that are backed by one or more of its statutory funds; |
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(G) |
interests in managed investment schemes including: |
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(1) |
investor directed portfolio services; |
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(H) |
interests in managed investment schemes limited to: |
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(2) |
MDA services; |
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(I) |
retirement savings accounts ("RSA") products (within the meaning of the Retirement Savings Account Act 1997); |
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(J) |
securities; and |
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(K) |
superannuation; |
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to retail and wholesale clients. |
