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3. David XI Zhu

David XI Zhu

Name

David XI Zhu

ID

1234290

ABN

–

First Provided Advice

2014

Restrictions

Refer to Contractor Agreement. Restrictions on Services to be provided include(a) The Contractor is not authorised to provide the following services on behalf of the Phillip Capital Limited (PhillipCapital):(i) any financial services which are outside the scope of the Authorisations stated in the Contractor Agreement with PhillipCapital (for example, the Contractor is not authorised to operate registered schemes, provide advice or dealing in derivatives other than options and warrants, life products, general insurance products or superannuation); and(ii) any services other than financial services (for example, providing tax, legal or accounting advice).(b) Notwithstanding that PhillipCapital is authorised to provide the Services in accordance with the Authorisations and the Contractor Agreement, the Contractor is prohibited from providing the following financial services on behalf of PhillipCapital:(i) MDA services; (ii)underwriting services; and (iii)custodial services.(c) Although the Contractor is authorised to provide capital raisings services, recognising the due diligence required in such a service, the Contractor: (i) must follow the PhillipCapital procedures with respect to capital raising; and (ii) is not authorised to commit the PhillipCapital to any capital raising. (d)The Contractor is not authorised to provide any corporate advisory services without PhillipCapital written approval.

Qualifications

Details on the qualifications or training courses the adviser has completed that are relevant to providing financial services

Memberships

Details of memberships of professional bodies or industry associations relevant to providing financial services

Licencee