This licence authorises the licensee to carry on a financial services business to:
provide financial product advice to retail and wholesale clients for the following classes of financial products:
deposit and payment products limited to:
basic deposit products;
deposit products other than basic deposit products;
derivatives;
interests in managed investment schemes including:
investor directed portfolio services; and
securities; and
provide financial product advice to retail clients for the following classes of financial products:
interests in managed investment schemes limited to:
MDA services; and
provide financial product advice to wholesale clients for the following classes of financial products:
foreign exchange contracts; and
financial products limited to:
miscellaneous financial investment products limited to MDA services; and
deal in a financial product by:
issuing, applying for, acquiring, varying or disposing of a financial product to retail and wholesale clients in respect of the following classes of financial products:
derivatives; and
foreign exchange contracts; and
issuing, applying for, acquiring, varying or disposing of a financial product to retail clients in respect of the following classes of financial products:
interests in managed investment schemes limited to:
MDA services; and
issuing, applying for, acquiring, varying or disposing of a financial product to wholesale clients in respect of the following classes of financial products:
financial products limited to:
miscellaneous financial investment products limited to MDA services; and
applying for, acquiring, varying or disposing of a financial product to retail and wholesale clients 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;
foreign exchange contracts;
interests in managed investment schemes including:
investor directed portfolio services; and
securities
| Name | First provided advice | Qualification and trainings |
|---|---|---|
| Sam Robson | 1997 | Accredited Derivatives Adviser Level 2 ASX - Kaplan ~ Deposit Products and Non-Cash payments - Financial Education Professionals ~ SDIA Accreditation Program Assessment - Securities, Futures Markets and Managed investments - Futures Markets & Managed Investments |