ASIC Fund, MDA, Securities, Derivatives, Superannuation License AFSL #137 For Sale

1. This licence authorises the licensee to carry on a financial services business to:
(a) provide financial product advice to retail and wholesale clients 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) debentures, stocks or bonds issued or proposed to be issued by a government;
(iv) 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;
(v) interests in managed investment schemes including:
(A) investor directed portfolio services;
(vi) interests in managed investment schemes limited to:
(B) MDA services;
(vii) retirement savings accounts (“RSA”) products (within the meaning of the Retirement Savings Account Act 1997);
(viii) securities;
(ix) standard margin lending facility; and
(x) superannuation;

(b) deal in a financial product by:
(i) issuing, applying for, acquiring, varying or disposing of a financial product to wholesale clients only in respect of the following classes of financial products:
(A) interests in managed investment schemes excluding investor directed portfolio services;
(B) securities; and
(ii) issuing, applying for, acquiring, varying or disposing of a financial product to retail and wholesale clients in respect of the following classes of financial products:
(A) interests in managed investment schemes limited to:
(1) MDA services; and
(iii) applying for, acquiring, varying or disposing of a financial product on behalf of another person to retail and wholesale clients 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) debentures, stocks or bonds issued or proposed to be issued by a government;
(D) 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;
(E) interests in managed investment schemes including:
(1) investor directed portfolio services;
(F) interests in managed investment schemes limited to:
(1) MDA services;
(G) retirement savings accounts (“RSA”) products (within the meaning of the Retirement Savings Account Act 1997);
(H) securities; and
(I) superannuation; and
(c) provide the following custodial or depository services to wholesale clients only:
(i) operate custodial or depository services other than investor directed portfolio services;