Roc Capital Pty Limited

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

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

deposit and payment products limited to:

basic deposit products;

derivatives;

foreign exchange contracts;

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 wholesale clients only in respect of the following classes of financial products:

derivatives;

foreign exchange contracts;

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

arranging for another person to issue, apply for, acquire, vary or dispose of a financial product to retail and wholesale clients only in respect of the following classes of financial products:

securities;

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

deposit and payment products limited to:

basic deposit products;

derivatives;

foreign exchange contracts;

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

securities; and

underwriting to wholesale clients only:

interests in managed investment schemes; and

an issue of securities; and

provide the following custodial or depository services to wholesale clients only:

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