This licence authorises the licensee to carry on a financial services business to:
provide general financial product advice to retail clients for the following classes of financial products:
deposit and payment products including:
basic deposit products;
deposit products other than basic deposit products; and
non-cash payment products;
derivatives;
foreign exchange contracts;
debentures, stocks or bonds issued or proposed to be issued by a government;
interests in managed investment schemes including:
investor directed portfolio services;
securities; and
standard margin lending facility;
provide financial product advice to retail and wholesale clients for the following classes of financial products:
superannuation; and
provide financial product advice to wholesale clients for the following classes of financial products:
deposit and payment products including:
basic deposit products;
deposit products other than basic deposit products; and
non-cash payment products;
derivatives;
foreign exchange contracts;
debentures, stocks or bonds issued or proposed to be issued by a government;
interests in managed investment schemes including:
investor directed portfolio services;
securities; and
standard margin lending facility;
deal in a financial product by:
issuing, applying for, acquiring, varying or disposing of a financial product to wholesale clients in respect of the following classes of financial products:
deposit and payment products including:
basic deposit products;
deposit products other than basic deposit products; and
non-cash payment products;
derivatives;
foreign exchange contracts;
interests in managed investment schemes excluding investor directed portfolio services;
securities; and
standard margin lending facility;
applying for, acquiring, varying or disposing of a financial product on behalf of another person to retail and wholesale clients in respect of the following classes of products:
superannuation;
applying for, acquiring, varying or disposing of a financial product on behalf of another person to wholesale clients in respect of the following classes of products:
deposit and payment products including:
basic deposit products;
deposit products other than basic deposit products; and
non-cash payment products;
derivatives;
foreign exchange contracts;
debentures, stocks or bonds issued or proposed to be issued by a government;
interests in managed investment schemes including:
investor directed portfolio services;
securities; and
standard margin lending facility; and
underwriting to wholesale clients:
interests in managed investment schemes; and
an issue of securities;
make a market to wholesale clients for the following financial products:
foreign exchange contracts;
derivatives;
debentures, stocks or bonds issued or proposed to be issued by a government and/or debentures issued by any other body; and
limited to financial products other than:
derivatives;
foreign exchange contracts; and
debentures, stocks or bonds issued or proposed to be issued by a government and/or debentures issued by any other body; and
provide the following custodial or depository services to wholesale clients:
operate custodial or depository services other than investor directed portfolio services.
| Name | First provided advice | Qualification and trainings |
|---|---|---|
| Nobel Joseph Pullan | 2015 | Advanced Diploma of Financial Services - Pinnacle Financial Services Academy ~ Bachelor of Commerce - University of Bombay ~ Certified Financial Planner - Financial Planning Association ~ Masters of Commerce - University of Mumbai ~ Post Graduate Programme in Management Studies - K.J. Somaiya Institute of Management Studies and Research |