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;
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;
interests in managed investment schemes limited to:
MDA services;
retirement savings accounts ("RSA") products (within the meaning of the Retirement Savings Account Act 1997);
securities; and
superannuation; 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;
deposit products other than basic deposit products;
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;
interests in managed investment schemes limited to:
MDA services;
retirement savings accounts ("RSA") products (within the meaning of the Retirement Savings Account Act 1997);
securities; and
superannuation;
to retail and wholesale clients.
| Name | First provided advice | Qualification and trainings |
|---|---|---|
| Hock Jeen Liaw | 2015 | 2011 - Bachelor of Commerce - - University of Canberra ~ 2011 - Bachelor of Commerce - Bachelor Degree (AQF 7) - University of Canberra ~ 2013 - Diploma of Financial Planning - - KAPLAN ~ 2013 - Diploma of Financial Planning - Diploma (AQF 5) - Kaplan ~ 2014 - Advanced Diploma of Financial Planning - - KAPLAN ~ 2014 - Advanced Diploma of Financial Planning - Advanced Diploma (AQF 6) - Kaplan ~ 2017 - Certified Financial Planner (CFP) - Certificate (AQF 1-4) - FPA ~ 2018 - Life Risk Specialist (LRS) - Certificate (AQF 1-4) - FPA |
| Susan Marie Rio | 1987 | 1986 - Diploma of Business Studies Accounting - - Victoria University (Footscray TAFE) ~ 1991 - Diploma of Financial Planning - - Deakin University ~ 2008 - Masters of Financial Planning - - RMIT |