出售澳洲AFSL牌照（含：MDA | 零售客户的 | 还有证券和衍生工具）

澳洲AFSL牌照
AFSL (Australian Financial Services Licence）

出售澳洲AFSL牌照（含：MDA | 零售客户的 | 还有证券和衍生工具）

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具体许可范围：

Licence/Registration conditions：

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Details: 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;

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