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;
deposit products other than basic deposit products;
derivatives;
debentures, stocks or bonds issued or proposed to be issued by a government;
life products including:
investment life insurance products as well as any products issued by a Registered Life Insurance Company that are backed by one or more of its statutory funds; and
life risk insurance products as well as any products issued by a Registered Life Insurance Company that are backed by one or more of its statutory funds;
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;
standard margin lending facility; and
superannuation; and
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; 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;
debentures, stocks or bonds issued or proposed to be issued by a government;
life products including:
investment life insurance products as well as any products issued by a Registered Life Insurance Company that are backed by one or more of its statutory funds; and
life risk insurance products as well as any products issued by a Registered Life Insurance Company that are backed by one or more of its statutory funds;
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;
standard margin lending facility; and
superannuation;
to retail and wholesale clients.
| Name | First provided advice | Qualification and trainings |
|---|---|---|
| Man Chi Leung | 2009 | Advanced Diploma of Financial Services (Financial Planning) - Kaplan Professional ~ Advanced Diploma of Financial Services (Financial Planning) - Kaplan Professional ~ Bachelor of Applied Finance - Macquarie University ~ Bachelor of Applied Finance - Macquarie University ~ Diploma of Financial Services (Financial Planning) - Kaplan Professional ~ Diploma of Financial Services (Financial Planning) - Kaplan Professional ~ Ethics and Professionaliam in Financial Advice - Kaplan Professional ~ Ethics and Professionaliam in Financial Advice - Kaplan Professional ~ Financial Adviser Exam - Kaplan Professional ~ Financial Adviser Exam - Kaplan Professional ~ Master of International Business - Macquarie University ~ Master of International Business - Macquarie University |
| Wai-yee Chen | 1996 | ADA Level 1 & 2 - ASX ~ ADA Level 1 & 2 - ASX ~ Bachelor of Commerce (Accounting) - University of Newcastle ~ Bachelor of Commerce (Accounting) - University of Newcastle ~ Economic and Legal Context for Financial Planning - Kaplan ~ Economic and Legal Context for Financial Planning - Kaplan ~ Ethics and Professionalism in Financial Advice - Kaplan ~ Ethics and Professionalism in Financial Advice - Kaplan ~ Masters of Applied Finance - Macquarie University ~ Masters of Applied Finance - Macquarie University |