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;
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:
interests in managed investment schemes excluding investor directed portfolio services;
interests in managed investment schemes limited to:
MDA services; and
financial products limited to:
miscellaneous financial investment products limited to MDA services; 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;
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;
operate the following kinds of registered managed investment schemes (including the holding of any incidental property) in its capacity as responsible entity:
Analytica Property Plus Fund" scheme (ARSN: 139 774 646),
a scheme which only holds the following types of property:
financial assets;
Merchant Opportunities Fund" scheme (ARSN: 111 456 387),
a scheme which only holds the following types of property:
financial assets; and
Merchant Biotech Fund" scheme (ARSN: 654 495 468),
a scheme which only holds the following types of property:
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 |
|---|---|---|
| Allan John Mcgregor | 2018 | 2020 - Graduate Diploma Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional |
| Cheng Qian | 2017 | 2013 - Bachelor or Commerce - Bachelor Degree (AQF 7) - The University of Melbourne ~ 2014 - Diploma of Financial Planning - - Monarch Institute ~ 2022 - Advanced Diploma of Financial Planning - Advanced Diploma (AQF 6) - Kaplan Professional |
| David Mckay French | 2001 | 1989 - Bachelor of Economics - - Flinders University of South Australia ~ 1992 - Diploma of Corporate Management - - Institute of Corporate Managers ~ 2006 - Diploma in Financial Services (Financial Plannning) FNS50804 - - Mentor Education ~ 2023 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional |
| Elizabeth May Whalley | 2023 | 2022 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional |
| John Justin Zahra | 2023 | 2000 - Bachelor of Business - Bachelor Degree (AQF 7) - Victoria University ~ 2018 - Diploma of Financial Planning - Diploma (AQF 5) - Kaplan Professional ~ 2019 - Advanced Diploma of Financial Planning - Advanced Diploma (AQF 6) - Kaplan Professional ~ 2022 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional |
| Tracey Elizabeth Briggs | 2018 | 1992 - Baccalaureus Commercii ( BACH of Commerce ) - - University of Port Elizabeth ~ 2018 - Diploma of Financial Planning - - Kaplan |