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GOLDMAN SACHS FINANCIAL MARKETS PTY LTD
澳大利亚 ASIC · AFSL 247147 · Authorised (AFS licensee — FX/derivatives-related authorisation)
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공식 등록 필드
| 규제 기관 | ASIC |
| 라이선스/등록번호 | AFSL 247147 |
| 등록 상태 | Authorised (AFS licensee — FX/derivatives-related authorisation) |
| ABN/ACN | 16107084640 |
| 라이선스 발효일 | 10/03/2004 |
| 등록 지역 | SYDNEY NSW 2000 Australia |
数据来源：ASIC AFS Licensee dataset (data.gov.au) · 同步日期 2026-10-28
인가 조건(ASIC 원문)
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 including:
(A) basic deposit products;
(B) deposit products other than basic deposit products; and
(C) non-cash payment products;
(ii) debentures, stocks or bonds issued or proposed to be issued by a government;
(iii) interests in managed investment schemes including:
(A) investor directed portfolio services; and
(iv) securities; and
(b) provide financial product advice to wholesale clients for the following classes of financial products:
(i) derivatives;
(ii) foreign exchange contracts;
(iii) standard margin lending facility; and
(iv) non-standard margin lending facility; and
(c) deal in a financial product by:
(i) issuing, applying for, acquiring, varying or disposing of a financial product to retail and wholesale clients in respect of the following classes of financial products:
(A) interests in managed investment schemes excluding investor directed portfolio services; and
(B) securities; and
(ii) issuing, applying for, acquiring, varying or disposing of a financial product to wholesale clients in respect of the following classes of financial products:
(A) derivatives;
(B) foreign exchange contracts;
(C) standard margin lending facility; and
(D) non-standard margin lending facility; and
(iii) applying for, acquiring, varying or disposing of a financial product to retail and wholesale clients on behalf of another person in respect of the following classes of products:
(A) deposit and payment products including:
(1) basic deposit products;
(2) deposit products other than basic deposit products; and
(3) non-cash payment products;
(B) debentures, stocks or bonds issued or proposed to be issued by a government;
(C) interests in managed investment schemes including:
(1) investor directed portfolio services; and
(D) securities; and
(iv) applying for, acquiring, varying or disposing of a financial product to wholesale clients on behalf of another person in respect of the following classes of products:
(A) derivatives;
(B) foreign exchange contracts;
(C) standard margin lending facility; and
(D) non-standard margin lending facility; and
(d) underwriting to retail and wholesale clients:
(i) interests in managed investment schemes; and
(ii) an issue of securities; and
(e) make a market to wholesale clients for the following financial products:
(i) foreign exchange contracts;
(ii) derivatives;
(iii) debentures, stocks or bonds issued or proposed to be issued by a government and/or debentures issued by any other body; and
(iv) limited to financial products other than:
(A) derivatives;
(B) foreign exchange contracts; and
(C) debentures, stocks or bonds issued or proposed to be issued by a government and/or debentures issued by any other body; and
(f) provide the following custodial or depository services to retail and wholesale clients:
(i) operate custodial or depository services other than investor directed portfolio services;.
(a) provide financial product advice to retail and wholesale clients for the following classes of financial products:
(i) deposit and payment products including:
(A) basic deposit products;
(B) deposit products other than basic deposit products; and
(C) non-cash payment products;
(ii) debentures, stocks or bonds issued or proposed to be issued by a government;
(iii) interests in managed investment schemes including:
(A) investor directed portfolio services; and
(iv) securities; and
(b) provide financial product advice to wholesale clients for the following classes of financial products:
(i) derivatives;
(ii) foreign exchange contracts;
(iii) standard margin lending facility; and
(iv) non-standard margin lending facility; and
(c) deal in a financial product by:
(i) issuing, applying for, acquiring, varying or disposing of a financial product to retail and wholesale clients in respect of the following classes of financial products:
(A) interests in managed investment schemes excluding investor directed portfolio services; and
(B) securities; and
(ii) issuing, applying for, acquiring, varying or disposing of a financial product to wholesale clients in respect of the following classes of financial products:
(A) derivatives;
(B) foreign exchange contracts;
(C) standard margin lending facility; and
(D) non-standard margin lending facility; and
(iii) applying for, acquiring, varying or disposing of a financial product to retail and wholesale clients on behalf of another person in respect of the following classes of products:
(A) deposit and payment products including:
(1) basic deposit products;
(2) deposit products other than basic deposit products; and
(3) non-cash payment products;
(B) debentures, stocks or bonds issued or proposed to be issued by a government;
(C) interests in managed investment schemes including:
(1) investor directed portfolio services; and
(D) securities; and
(iv) applying for, acquiring, varying or disposing of a financial product to wholesale clients on behalf of another person in respect of the following classes of products:
(A) derivatives;
(B) foreign exchange contracts;
(C) standard margin lending facility; and
(D) non-standard margin lending facility; and
(d) underwriting to retail and wholesale clients:
(i) interests in managed investment schemes; and
(ii) an issue of securities; and
(e) make a market to wholesale clients for the following financial products:
(i) foreign exchange contracts;
(ii) derivatives;
(iii) debentures, stocks or bonds issued or proposed to be issued by a government and/or debentures issued by any other body; and
(iv) limited to financial products other than:
(A) derivatives;
(B) foreign exchange contracts; and
(C) debentures, stocks or bonds issued or proposed to be issued by a government and/or debentures issued by any other body; and
(f) provide the following custodial or depository services to retail and wholesale clients:
(i) operate custodial or depository services other than investor directed portfolio services;.
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