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 | 2002 - PS 146 compliance program - - Securities institute |
| Benjamin Gratzer | 2006 | 2006 - Tier 1 Compliance solution - - Finsia |
| David Bede Greenfield | 2018 | 1998 - Bachelor of Commerce - - Macquarie University ~ 2018 - Core 1 Securities & Managed Investments Accreditation (ASIC RG 146) - - SAFAA |
| Malcolm Eric Palmer | 1993 | 1986 - Securities Institute certificate course - - Securities Institute ~ 1993 - ASX Affiliate - - ASX ~ 2004 - ASX Responsible Executive - - Tribeca |
| Maria Webb | 2013 | 2003 - Bachelor of Arts (Philosophy) - - University of Sydney ~ 2003 - Bachelor of Commerce (Economics, Finance) - - University of Sydney ~ 2009 - Graduate Diploma of Applied Finance and Investment - - Kaplan ~ 2013 - RG146 Compliance Tier 1 Generic Knowledge Program - - Kaplan ~ 2013 - RG146 Compliance Tier 1 Securities - Personal Advice - - Kaplan |