SUBSTANCIA CAPITAL PTY LTD


Address: South Melbourne, VIC 3205, Australia

SUBSTANCIA CAPITAL PTY LTD (Licence# 000435500) is an Australian financial service (AFS) licenced with Australian Securities and Investments Commission (ASIC), Australian Financial Services Licensee Register. The licence issue date is April 16, 2013.

Service Overview

Register Name AFS Licence
Licence Name SUBSTANCIA CAPITAL PTY LTD
Licence Number 000435500
Licence ABN 29162643478
Issue Date 2013-04-16
Locality SOUTH MELBOURNE
State VIC
Postcode 3205
Country Australia

Licence condition

This licence authorises the licensee to carry on a financial services business to:
  • provide general financial product advice only, for the following classes of financial products:
    • debentures, stocks or bonds issued or proposed to be issued by a government;
    • interests in managed investment schemes excluding investor directed portfolio services; and
    • securities;
  • 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 restricted to:
        • arrangements not entered into on a licensed market or financial market that is exempt under a declaration made under section 791C of the Corporations Act where a party to the arrangement must, or may be required to provide future consideration and where the amount of the consideration of the value of the arrangement is ultimately determined, derived from or varies by reference to (wholly or in part) the value or amount of (in any nature whatsover and whether or not deliverable) an interest rate; and
        • where the purpose of the licensee in entering the arrangement is to limit, minimise or manage the fluctuations in interest rates that may affect a managed investment scheme for which the licensee acts in the capacity of the trustee of unregistered managed investment schemes;
      • 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 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;
      • arrangements not entered into on a licensed market or financial market that is exempt under a declaration made under section 791C of the Corporations Act where a party to the arrangement must, or may be required to provide future consideration and where the amount of the consideration of the value of the arrangement is ultimately determined, derived from or varies by reference to (wholly or in part) the value or amount of (in any nature whatsover and whether or not deliverable) an interest rate; and
      • where the purpose of the licensee in entering the arrangement is to limit, minimise or manage the fluctuations in interest rates that may affect a managed investment scheme for which the licensee acts in the capacity of the trustee of unregistered managed investment schemes;
      • general insurance products;
      • debentures, stocks or bonds issued or proposed to be issued by a government;
      • interests in managed investment schemes excluding investor directed portfolio services; and
      • securities; and
  • provide the following custodial or depository services:
    • operate custodial or depository services other than investor directed portfolio services;
      to wholesale clients.

      Office Location

      Locality SOUTH MELBOURNE
      State VIC
      Postcode 3205
      Country Australia

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      Postal Code 3205

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      Dataset Information


      Data Provider Australian Securities and Investments Commission (ASIC), Australian Financial Services Licensee Register
      Jurisdiction Australia
      Related Datasets Australian Businesses, Australian Companies

      This dataset includes 33 thousand financial advisers registered with Australian Securities and Investments Commission (ASIC), Australian Financial Services Licensee Register. Australian Financial Services Licensees are required to keep the details of their financial advisers up to date on ASIC's Financial Services Register. Each financial adviser is registered with name, number, role status, ABN, first advice year, licence name and number, licence ABN, adviser start date and end date, appointing representative, disciplinary action, product authorisations, qualifications and training, memberships, etc.