STEWARDS CAPITAL GROUP PTY LTD
澳大利亚 ASIC · AFSL 409535 · Authorised (AFS licensee — FX/derivatives-related authorisation)
机构介绍
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| 监管机构 | ASIC |
| 牌照/登记号 | AFSL 409535 |
| 登记状态 | Authorised (AFS licensee — FX/derivatives-related authorisation) |
| ABN/ACN | 93112249135 |
| 牌照生效日期 | 27/09/2011 |
| 登记地区 | ST LEONARDS NSW 2065 Australia |
数据来源：ASIC AFS Licensee dataset (data.gov.au) · 同步日期 2026-10-28
授权条件（ASIC 原文）
This licence authorises the licensee to carry on a financial services business to:
(a) provide financial product advice to retail and wholesale clients for the following classes of financial products:
(i) deposit and payment products limited to:
(A) basic deposit products;
(B) deposit products other than basic deposit products;
(ii) debentures, stocks or bonds issued or proposed to be issued by a government;
(iii) life products including:
(A) investment life insurance products as well as any products issued by a Registered Life Insurance Company that are backed by one or more of its statutory funds; and
(B) life risk insurance products as well as any products issued by a Registered Life Insurance Company that are backed by one or more of its statutory funds;
(iv) interests in managed investment schemes including:
(A) investor directed portfolio services;
(v) retirement savings accounts ("RSA") products (within the meaning of the Retirement Savings Account Act 1997);
(vi) securities;
(vii) standard margin lending facility; and
(viii superannuation; and
(b) provide financial product advice to wholesale clients only for the following classes of financial products:
(i) derivatives restricted to derivatives utilised for the management of financial risk (hedging) which only have the purposes of:
(A) management or mitigation of the financial consequences of particular circumstances happening; or
(B) avoiding or limiting the financial consequences or fluctuations, in or in the value of, receipts or costs (including prices and interest rates);
(ii) foreign exchange contracts restricted to foreign exchange contracts utilised for the management of financial risk (hedging) which only have the purposes of:
(A) management or mitigation of the financial consequences of particular circumstances happening; or
(B) avoiding or limiting the financial consequences of fluctuations in the rate of exchange of foreign currency;
(c) deal in a financial product by:
(i) arranging for another person to issue, apply for, acquire, vary or dispose of a financial product to wholesale clients only in respect of the following classes of financial products:
(A) derivatives restricted to derivatives utilised for the management of financial risk (hedging) which only have the purposes of:
(1) management or mitigation of the financial consequences of particular circumstances happening; or
(2) avoiding or limiting the financial consequences or fluctuations, in or in the value of, receipts or costs (including prices and interest rates);
(B) interests in managed investment schemes excluding investor directed portfolio services; and
(C) securities; and
(ii) 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:
(A) deposit and payment products limited to:
(1) basic deposit products;
(2) deposit products other than basic deposit products;
(B) debentures, stocks or bonds issued or proposed to be issued by a government;
(C) life products including:
(1) investment life insurance products as well as any products issued by a Registered Life Insurance Company that are backed by one or more of its statutory funds; and
(2) life risk insurance products as well as any products issued by a Registered Life Insurance Company that are backed by one or more of its statutory funds;
(D) interests in managed investment schemes including:
(1) investor directed portfolio services;
(E) retirement savings accounts ("RSA") products (within the meaning of the Retirement Savings Account Act 1997);
(F) securities;
(G) standard margin lending facility; and
(H) superannuation;
(iii) 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:
(A) derivatives restricted to derivatives utilised for the management of financial risk (hedging) which only have the purposes of:
(a)
management or mitigation of the financial consequences of particular circumstances happening; or
(b)
avoiding or limiting the financial consequences or fluctuations, in or in the value of, receipts or costs (including prices and interest rates);
(B) foreign exchange contracts restricted to foreign exchange contracts utilised for the management of financial risk (hedging) which only have the purposes of:
(a)
management or mitigation of the financial consequences of particular circumstances happening; or
(b)
avoiding or limiting the financial consequences of fluctuations in the rate of exchange of foreign currency;.
(a) provide financial product advice to retail and wholesale clients for the following classes of financial products:
(i) deposit and payment products limited to:
(A) basic deposit products;
(B) deposit products other than basic deposit products;
(ii) debentures, stocks or bonds issued or proposed to be issued by a government;
(iii) life products including:
(A) investment life insurance products as well as any products issued by a Registered Life Insurance Company that are backed by one or more of its statutory funds; and
(B) life risk insurance products as well as any products issued by a Registered Life Insurance Company that are backed by one or more of its statutory funds;
(iv) interests in managed investment schemes including:
(A) investor directed portfolio services;
(v) retirement savings accounts ("RSA") products (within the meaning of the Retirement Savings Account Act 1997);
(vi) securities;
(vii) standard margin lending facility; and
(viii superannuation; and
(b) provide financial product advice to wholesale clients only for the following classes of financial products:
(i) derivatives restricted to derivatives utilised for the management of financial risk (hedging) which only have the purposes of:
(A) management or mitigation of the financial consequences of particular circumstances happening; or
(B) avoiding or limiting the financial consequences or fluctuations, in or in the value of, receipts or costs (including prices and interest rates);
(ii) foreign exchange contracts restricted to foreign exchange contracts utilised for the management of financial risk (hedging) which only have the purposes of:
(A) management or mitigation of the financial consequences of particular circumstances happening; or
(B) avoiding or limiting the financial consequences of fluctuations in the rate of exchange of foreign currency;
(c) deal in a financial product by:
(i) arranging for another person to issue, apply for, acquire, vary or dispose of a financial product to wholesale clients only in respect of the following classes of financial products:
(A) derivatives restricted to derivatives utilised for the management of financial risk (hedging) which only have the purposes of:
(1) management or mitigation of the financial consequences of particular circumstances happening; or
(2) avoiding or limiting the financial consequences or fluctuations, in or in the value of, receipts or costs (including prices and interest rates);
(B) interests in managed investment schemes excluding investor directed portfolio services; and
(C) securities; and
(ii) 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:
(A) deposit and payment products limited to:
(1) basic deposit products;
(2) deposit products other than basic deposit products;
(B) debentures, stocks or bonds issued or proposed to be issued by a government;
(C) life products including:
(1) investment life insurance products as well as any products issued by a Registered Life Insurance Company that are backed by one or more of its statutory funds; and
(2) life risk insurance products as well as any products issued by a Registered Life Insurance Company that are backed by one or more of its statutory funds;
(D) interests in managed investment schemes including:
(1) investor directed portfolio services;
(E) retirement savings accounts ("RSA") products (within the meaning of the Retirement Savings Account Act 1997);
(F) securities;
(G) standard margin lending facility; and
(H) superannuation;
(iii) 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:
(A) derivatives restricted to derivatives utilised for the management of financial risk (hedging) which only have the purposes of:
(a)
management or mitigation of the financial consequences of particular circumstances happening; or
(b)
avoiding or limiting the financial consequences or fluctuations, in or in the value of, receipts or costs (including prices and interest rates);
(B) foreign exchange contracts restricted to foreign exchange contracts utilised for the management of financial risk (hedging) which only have the purposes of:
(a)
management or mitigation of the financial consequences of particular circumstances happening; or
(b)
avoiding or limiting the financial consequences of fluctuations in the rate of exchange of foreign currency;.
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