Yarra Funds Management Limited

This licence authorises the licensee to carry on a financial services business to:

provide financial product advice for the following classes of financial products to wholesale clients:

deposit and payment products limited to:

basic deposit products;

deposit products other than basic deposit products;

derivatives;

foreign exchange contracts;

debentures, stocks or bonds issued or proposed to be issued by a government;

interests in managed investment schemes excluding investor directed portfolio services; and

securities;

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

deposit and payment products limited to:

basic deposit products;

deposit products other than basic deposit products;

derivatives;

foreign exchange contracts;

debentures, stocks or bonds issued or proposed to be issued by a government;

interests in managed investment schemes excluding investor directed portfolio services; and

securities;

deal in a financial product by:

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:

derivatives;

foreign exchange contracts; and

interests in managed investment schemes excluding investor directed portfolio services;

applying for, acquiring, varying or disposing of a financial product to retail and wholesale clients on behalf of another person in respect of the following classes of products:

deposit and payment products limited to:

basic deposit products;

deposit products other than basic deposit products;

derivatives;

foreign exchange contracts;

debentures, stocks or bonds issued or proposed to be issued by a government;

interests in managed investment schemes excluding investor directed portfolio services; and

securities; and

underwriting to wholesale clients:

interests in managed investment schemes; and

an issue of securities;

operate the following kinds of registered managed investment schemes (including the holding of any incidental property) in its capacity as responsible entity to retail and wholesale clients:

schemes which only hold the following types of property:

derivatives; and

financial assets; and

provide the following custodial or depository services to retail and wholesale client:

operate custodial or depository services other than investor directed portfolio services.