ASIC AFSL Dealing In MIS, MDA, Insurance, Superannuation, Derivatives, etc. For Sale.
1. This licence authorises the licensee to carry on a financial services business to:
(a) provide financial product advice for the following classes of financial products:
(i) deposit and payment products limited to:
(A) basic deposit products;
(B) deposit products other than basic deposit products;
(ii) derivatives;
(iii) general insurance products;
(iv) debentures, stocks or bonds issued or proposed to be issued by a government;
(v) life products including:
(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
(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;
(vi) interests in managed investment schemes including:
(A) investor directed portfolio services;
(vii) retirement savings accounts (“RSA”) products (within the meaning of the Retirement Savings Account Act 1997);
(viii) securities;
(ix) standard margin lending facility;
(x) superannuation; and
(xi) financial products limited to:
(A) miscellaneous financial investment products limited to MDA services; and
(b) deal in a financial product by:
(i) issuing, applying for, acquiring, varying or disposing of a financial product in respect of the following classes of financial products:
(A) derivatives; and
(B) financial products limited to:
(1) miscellaneous financial investment products limited to MDA services;
(ii) applying for, acquiring, varying or disposing of a financial product on behalf of another person in respect of the following classes of products:
(A) deposit and payment products limited to:
(1) basic deposit products;
(2) deposit products other than basic deposit products;
(B) derivatives;
(C) general insurance products;
(D) debentures, stocks or bonds issued or proposed to be issued by a government;
(E) life products including:
(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
(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;
(F) interests in managed investment schemes including:
(1) investor directed portfolio services;
(G) retirement savings accounts (“RSA”) products (within the meaning of the Retirement Savings Account Act 1997);
(H) securities;
(I) standard margin lending facility;
(J) superannuation; and
(K) financial products limited to:
(1) miscellaneous financial investment products limited to MDA services; and
(iii) underwriting:
(A) interests in managed investment schemes; and
(B) an issue of securities;
to retail and wholesale clients.
- One director
- One responsible manager
- Clean history, no activity for years
For more information, please contact info@acpadvisory.com
