This licence authorises the licensee to carry on a financial services business to:
provide general financial product advice to wholesale clients only for the following classes of financial products:
foreign exchange contracts;
derivatives;
deal in a financial product to wholesale clients only by:
issuing, applying for, acquiring, varying or disposing of a financial product in respect of the following classes of financial products:
foreign exchange contracts; and
interest in managed investment schemes limited to:
own managed investment scheme only; and
applying for, acquiring, varying or disposing of a financial product on behalf of another person in respect of the following classes of products:
foreign exchange contracts;
provide the following custodial or depository services to wholesale clients only:
operate custodial or depository services other than investor directed portfolio services;
provide financial product advice to retail and wholesale clients for the following classes of financial products:
deposit and payment products limited to:
basic deposit products;
deposit products other than basic deposit products;
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;
standard margin lending facility; and
superannuation;
deal in a financial product to retail and wholesale clients 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;
deposit products other than basic deposit products;
derivatives;
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;
standard margin lending facility; and
superannuation;
| Name | First provided advice | Qualification and trainings |
|---|---|---|
| Amanda Hobbs | 1997 | Bachelor of Business - Chisholm Institute of Technology ~ Bachelor of Business - Chisholm Institute of Technology ~ Graduate Diploma of Applied Finance - Securities Institute of Australia ~ Graduate Diploma of Applied Finance - Securities Institute of Australia |
| Christian David Ryan | 2001 | Bachelor of Business (Accounting) - Royal Melbourne Institute of Technology ~ Bachelor of Business (Accounting) - Royal Melbourne Institute of Technology |