This licence authorises the licensee to carry on a financial services business to:
provide financial product advice for the following classes of financial products:
deposit and payment products limited to:
basic deposit products;
derivatives;
foreign exchange contracts;
debentures, stocks or bonds issued or proposed to be issued by a government;
interests in managed investment schemes including:
investor directed portfolio services;
retirement savings accounts ("RSA") products (within the meaning of the Retirement Savings Account Act 1997);
securities; and
standard margin lending facility; 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:
deposit and payment products limited to:
basic deposit products;
derivatives;
foreign exchange contracts;
debentures, stocks or bonds issued or proposed to be issued by a government;
interests in managed investment schemes including:
investor directed portfolio services;
retirement savings accounts ("RSA") products (within the meaning of the Retirement Savings Account Act 1997);
securities; and
standard margin lending facility;
to retail and wholesale clients.
| Name | First provided advice | Qualification and trainings |
|---|---|---|
| Charley Wang | 1995 | 1995 - Graduate Diploma of Applied Finance and Investment - Graduate Diploma (AQF 8) - FINSIA ~ 1999 - ADA Level Two re-accreditation - - ASX ~ 2000 - General Securities Representative ( Series 7) Exam - - National Association of Securities Dealers ~ 2001 - Master of Applied Finance - - Melbourne University ~ 2020 - Ethics and Professionalism in Financial Advice - Graduate Diploma (AQF 8) - Kaplan Professional |