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;
foreign exchange contracts;
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;
securities;
non-standard margin lending facility;
standard margin lending facility;
superannuation; and
financial products limited to:
miscellaneous financial investment products limited to MDA services;
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;
foreign exchange contracts;
interests in managed investment schemes excluding investor directed portfolio services;
interests in managed investment schemes limited to:
MDA services;
securities;
non-standard margin lending facility;
standard margin lending facility; and
financial products limited to:
miscellaneous financial investment products limited to MDA services;
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;
foreign exchange contracts;
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;
securities;
non-standard margin lending facility;
standard margin lending facility;
superannuation; and
financial products limited to:
miscellaneous financial investment products limited to MDA services; and
underwriting:
interests in managed investment schemes; and
an issue of securities;
operate the following kinds of registered managed investment schemes (including the holding of any incidental property) in its capacity as responsible entity:
Foliomandate" scheme (ARSN: 122 844 679),
a scheme which only holds the following types of property:
derivatives; and
financial assets;
Chimaera 20" scheme (ARSN: 122 844 839),
a scheme which only holds the following types of property:
derivatives; and
financial assets;
DIGGA Australian Mining Fund" (ARSN: 154 057 459),
a scheme which only holds the following types of property:
derivatives; and
financial assets;
Associated Equities Aussie Fund" scheme (ARSN: 129 028 253),
a scheme which only holds the following types of property:
derivatives; and
financial assets;
Associated Equities Income Fund" scheme (ARSN: 129 028 422),
a scheme which only holds the following types of property:
derivatives; and
financial assets; and
provide the following custodial or depository services:
operate custodial or depository services other than investor directed portfolio services;
to retail and wholesale clients.
| Name | First provided advice | Qualification and trainings |
|---|---|---|
| Rochelle Jane Pattison | 1996 | 1991 - Bachelor of Commerce - - University of Melbourne ~ 1991 - Bachelor of Law - - University of Melbourne ~ 2000 - Dip Applied Finance - - Securities Institute of Aust ~ 2001 - Institute of Chartered Accountants - - Financial Planning Specialist |