Oct 2015 - Sep 2016
Ceased
(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)debentures, stocks or bonds issued or proposed to be issued by a Government;(iii)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;(iv)interests in managed investment schemes including, but not limited to:(A)investor directed portfolio services (IDPS); and (B)managed investment schemes that are IDPS-like schemes;(v)securities;(vi)standard margin lending facility; and(vii)superannuation, excluding Self Managed Superannuation Funds (SMSFs);(b)deal in a financial product by:(i)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;(B)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;(C)interests in managed investment schemes including, but not limited to:(1)investor directed portfolio services (IDPS); and(2)managed investment schemes that are IDPS-like schemes;(D)securities;(E)standard margin lending facility; and(F)superannuation, excluding Self Managed Superannuation Funds (SMSFs); to retail or wholesale clients.