This licence authorises the licensee to carry on a financial services business to:
provide financial product advice for the following classes of financial products:
derivatives limited to:
derivatives relating to the wholesale price of wool only;
derivatives relating to the wholesale price of grain only; and
foreign exchange contracts; and
deal in a financial product by:
applying for, acquiring, varying or disposing of a financial product on behalf of another person in respect of the following classes of products:
derivatives limited to:
derivatives relating to the wholesale price of wool; and
other derivatives which are entered into for the purpose of managing a financial risk that arises in the ordinary course of the activities of the person where the person:
is not making a market for any such derivatives; and
is only dealing in any such derivatives on the person's own behalf;
derivatives relating to the wholesale price of grain; and
other derivatives which are entered into for the purpose of managing a financial risk that arises in the ordinary course of the activities of the person where the person:
is not making a market for any such derivatives; and
is only dealing in any such derivatives on the person's own behalf; and
foreign exchange contracts;
to retail and wholesale clients.
| Name | First provided advice | Qualification and trainings |
|---|---|---|
| Glen William Brayshaw | 2016 | Teir1 Derivatives-Personal Advice - Kaplan |
| Jacquie Clare Warr | 2015 | DFP1 Financial Planning Fundamentals - Kaplan Professional ~ GTA Trade Rules & Contracts - Grain Trade Australia |
| Jerome Critch | 2013 | Bachelor of Science (Agriculture) - UWA ~ Partial completion Diploma of Financial Services - Securities Institute ~ partial completion of Master of Applied Finance - Kaplan |
| Nicholas Daniel Sewell | 2018 | Bachelor of Commerce - University of Western Australia ~ Graduate Diploma Global Food and Agricultural Business - University of Adelaide ~ RG146 - Kaplan Professional |