Alpha Securities Pty Ltd

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

provide financial product advice for the following classes of financial 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 including:

investor directed portfolio services;

interests in managed investment schemes limited to:

MDA services;

securities;

non-standard margin lending facility; and

standard margin lending facility;

deal in a financial product by:

issuing, applying for, acquiring, varying or disposing of a financial product in respect of the following classes of financial products:

derivatives;

foreign exchange contracts;

interests in managed investment schemes including:

investor directed portfolio services; and

interests in managed investment schemes limited to:

MDA services; and

applying for, acquiring, varying or disposing of a financial product 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 including:

investor directed portfolio services;

interests in managed investment schemes limited to:

MDA services;

securities;

non-standard margin lending facility; and

standard margin lending facility; and

provide the following custodial or depository services:

operate custodial or depository services other than investor directed portfolio services and managed discretionary accounts

to retail and wholesale clients.