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 limited to:
old law securities options contracts and warrants;
debentures, stocks or bonds issued or proposed to be issued by a government;
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:
issuing, applying for, acquiring, varying or disposing of a financial product in respect of the following classes of financial products:
derivatives limited to:
old law securities options contracts and warrants; and
interests in managed investment schemes 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;
derivatives limited to:
old law securities options contracts and warrants;
debentures, stocks or bonds issued or proposed to be issued by a government;
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; and
superannuation;
to retail and wholesale clients.
Name | First provided advice | Qualification and trainings |
---|---|---|
Allan Furlong | 2002 | PS 146 compliance program - Securities institute |
Benjamin Gratzer | 2006 | Tier 1 Compliance solution - Finsia |
David Bede Greenfield | 2018 | Bachelor of Commerce - Macquarie University ~ Core 1 Securities & Managed Investments Accreditation (ASIC RG 146) - SAFAA |
Malcolm Eric Palmer | 1993 | ASX Affiliate - ASX ~ ASX Responsible Executive - Tribeca ~ Securities Institute certificate course - Securities Institute |
Maria Webb | 2013 | Bachelor of Arts (Philosophy) - University of Sydney ~ Bachelor of Commerce (Economics, Finance) - University of Sydney ~ Graduate Diploma of Applied Finance and Investment - Kaplan ~ RG146 Compliance Tier 1 Generic Knowledge Program - Kaplan ~ RG146 Compliance Tier 1 Securities - Personal Advice - Kaplan |