|
|
|
(1) |
provide
financial
product advice
for the
following
classes of
financial
products: |
|
|
|
|
(i) |
deposit and
payment
products
limited to: |
|
|
|
|
|
(a) |
basic deposit
products; |
|
|
|
|
(ii) |
derivatives; |
|
|
|
|
(iii) |
foreign
exchange
contracts; |
|
|
|
|
(iv) |
interests in
managed
investment
schemes
excluding
investor
directed
portfolio
services; |
|
|
|
|
(v) |
interests in
managed
investment
schemes
limited to: |
|
|
|
|
|
(a) |
MDA services;
and |
|
|
|
|
(vi) |
securities; |
|
|
|
|
|
|
|
|
(2) |
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; |
|
|
|
|
|
(b) |
foreign
exchange
contracts; and |
|
|
|
|
|
(c) |
interests in
managed
investment
schemes
limited to: |
|
|
|
|
|
|
(1) |
MDA services;
and |
|
|
|
|
(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; |
|
|
|
|
|
(b) |
derivatives; |
|
|
|
|
|
(c) |
foreign
exchange
contracts; |
|
|
|
|
|
(d) |
interests in
managed
investment
schemes
excluding
investor
directed
portfolio
services; and |
|
|
|
|
|
(e) |
securities;
and |
|
|
|
|
|
|
|
|
(3) |
make a market
for the
following
financial
products: |
|
|
|
|
(i) |
derivatives; |
|
|
|
|
to retail and
wholesale
clients. |
