General Financial Product Advice

Subject to appointment terms and licence conditions, a CAR may be authorised to provide general financial product advice to wholesale clients.

General advice does not take into account the objectives, financial situation or needs of any client. Personal financial product advice is not authorised.

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Dealing in Financial Products

Subject to appointment terms and licence conditions, a CAR may be authorised to deal in certain financial products for wholesale clients. This may include arranging for the application, acquisition, variation or disposal of a permitted financial product.

Any dealing activity must remain within the scope of the AFSL and the CAR’s written authority.

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Capital Raising and Transaction Support

Depending on appointment terms, a CAR may be authorised to participate in or support wholesale capital raisings and investment transactions, including facilitating communications and documentation provided to wholesale clients.

Authorisation does not extend to retail distribution, personal advice or discretionary management.

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Underwriting and Capital Markets Activities

Where permitted under appointment documentation, a CAR may be authorised to participate in underwriting or capital markets activities conducted for wholesale clients.