35 | Derivatives trading | | | | |
36 | Issuing derivatives, including derivatives or futures contracts, contracts for difference (CFDs), margin foreign exchange, forward foreign exchange contracts, and rolling spot contracts | | | | |
37 | Providing a brokers’ cash management account | | | | |
38 | Providing other brokering services | | | | |
39 | Funds management and administration of superannuation and KiwiSaver funds | | | | |
40 | Funds management and administration of retail and wholesale funds, including— | | | | |
(a) | unit trusts, PIE, hedge funds, option funds, commodity funds, fund of funds, foreign unit trusts, group investment funds, collective investment schemes, and listed investment trusts: |
(b) | property investment schemes, land investment products, property syndicates, forestry syndicates, listed property trusts, unlisted property trusts, and real estate investment trusts: |
(c) | venture capital and private equity funds: |
(d) | exchange traded funds (ETFs): |
(e) | all other funds (list these types in the notes section in Part 6) |
41 | Discretionary investment management services (including class and personalised) | | | | |
42 | Financial advice or financial planning | | | | |
43 | Custodian services | | | | |
44 | Issuing debt securities (including investment grade bonds, below investment grade bonds, warrants, perpetual or subordinated debt, structured debt issues (such as collateralised debt obligations (CDOs) and mortgage backed securities), and capital guaranteed and capital protected investments) | | | | |
45 | Issuing equity securities (including ordinary and preference shares, and private equity) | | | | |
46 | Supervisory activities | | | | |
46A | Treasury functions (including services provided between related entities) | | | | |
46B | Operating a financial product market | | | | |
46C | Peer-to-peer lending services | | | | |
46D | Crowd funding services | | | | |