Australian Financial Services Licensing (AFSL) Forum

#5577 Reply

Andrew

Please ignore my last post.

I have an AFSL for sale with the following authorisations.

1. This license authorises the licensee to carry on a financial services business to:

(a) provide financial product advice to wholesale and retail clients for the following classes of financial products:

(1) deposit and payment products limited to:

(1)basic deposit products;
(2)derivatives;
(2)foreign exchange contracts;
(4)interest in managed investment schemes including:
(a) investor directed portfolio services; and
(5)securities;and

(b) deal in financial product by:
(1) issuing, applying for, acquiring, varying or disposing of a financial product to wholesale and retail clients for the following classes of financial products;
(A) derivatives; and
(B)foreign exchange contracts; and
(2) applying for, acquiring, varying or disposing of a financial product on behalf of another person to wholesale and retail clients in respect of the following classes of products:

(A) deposit and payment products limited to (1) basic deposit products:(2) derivatives; (3) foreign exchange contracts; (4) interests in managed investment schemes including (1) investor directed portfolio services; and (e) Securities.

If you would like further information please email Andrew @ andrew@augurp.com.au.
<p style=”margin: 0px; font-stretch: normal; font-size: 8px; line-height: normal; font-family: Verdana; color: #000000;”></p>
<p style=”margin: 0px; font-stretch: normal; font-size: 8px; line-height: normal; font-family: Verdana; color: #000000;”></p>
<p style=”margin: 0px; font-stretch: normal; font-size: 8px; line-height: normal; font-family: Verdana; color: #000000;”></p>
<p style=”margin: 0px; font-stretch: normal; font-size: 8px; line-height: normal; font-family: Verdana; color: #000000;”></p>
<p style=”margin: 0px; font-stretch: normal; font-size: 8px; line-height: normal; font-family: Verdana; color: #000000;”></p>

  • Free answers to common Financial Services Regulation (FSR), Consumer Credit and AML/CTF issues.

    Click here to join our LinkedIn group for responsible managers and compliance professionals.
    joinUsOnLinkedIn
  • Training

    Regulatory Compliance Training for Directors, Responsible Managers and Compliance Staff

    View Courses

  • Legal Advice

    Review your AFSL or ACL disclosure documents, conduct a licensee audit and more…

    Get Legal Advice

  • Compliance support

    The HN Hub – an online platform built to support Responsible Managers and Compliance Staff

    More