Trilogy Funds Management Limited

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

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

deposit and payment products limited to:

basic deposit products;

deposit products other than basic deposit products;

derivatives restricted to derivatives utilised for the management of financial risk (hedging) which only have the purposes of:

management or mitigation of the financial consequences of particular circumstances happening; or

avoiding or limiting the financial consequences of fluctuations, in or in the value of, receipts or costs (including prices and interest rates);

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

interests in managed investment schemes excluding investor directed portfolio services;

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

deposit and payment products limited to:

basic deposit products;

deposit products other than basic deposit products;

derivatives restricted to derivatives utilised for the management of financial risk (hedging) which only have the purposes of:

management or mitigation of the financial consequences of particular circumstances happening; or

avoiding or limiting the financial consequences of fluctuations, in or in the value of, receipts or costs (including prices and interest rates);

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

interests in managed investment schemes excluding investor directed portfolio services;

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:

interests in managed investment schemes limited to:

own managed investment scheme only; and

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:

deposit and payment products limited to:

basic deposit products;

deposit products other than basic deposit products;

derivatives restricted to derivatives utilised for the management of financial risk (hedging) which only have the purposes of:

management or mitigation of the financial consequences of particular circumstances happening; or

avoiding or limiting the financial consequences of fluctuations, in or in the value of, receipts or costs (including prices and interest rates);

general insurance products;

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;

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

schemes which only hold the following types of property:

direct real property;

financial assets; and

mortgages; and

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

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