Aoris Investment Management Pty Ltd

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

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

deposit and payment products limited to:

basic deposit products;

foreign exchange contracts restricted to foreign exchange contracts 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 the rate of exchange of foreign currency;

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

securities; and

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

deposit and payment products limited to:

basic deposit products;

foreign exchange contracts restricted to foreign exchange contracts 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 the rate of exchange of foreign currency;

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

securities; and

deal in a financial product by:

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

deposit and payment products limited to:

basic deposit products;

foreign exchange contracts restricted to foreign exchange contracts 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 the rate of exchange of foreign currency;

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

securities; 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;

foreign exchange contracts restricted to foreign exchange contracts 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 the rate of exchange of foreign currency;

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

securities;