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 including:
basic deposit products;
deposit products other than basic deposit products; and
non-cash payment products;
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;
standard margin lending facility; 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:
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 including:
basic deposit products;
deposit products other than basic deposit products; and
non-cash payment products;
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;
standard margin lending facility; and
superannuation;
to retail and wholesale clients.
| Name | First provided advice | Qualification and trainings |
|---|---|---|
| Alexander Douglas Leyland | 2008 | 1997 - Bachelor of Business - - Victoria University ~ 2006 - SDIA Accreditation Program - - Deakin Prime |
| Anthony Benedict Barry | 1988 | 2002 - Securities & Derivatives Accreditation Program - - Deakin niversity |
| Charles Richards Leyland | 1993 | 1994 - Certificate in Financial Markets - - FINSIA ~ 1995 - NYSE General Securities Representative Series 7 - - NASD ~ 1998 - Graduate Diploma Applied Finance and Investment - - FINSIA |
| Suwanee Dharmalingam | 1997 | 1987 - Bachelor of Commerce - - University of New South Wales ~ 1987 - Bachelor of Laws - - University of New South Wales |