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:
deposit products other than basic deposit products;
derivatives;
foreign exchange contracts;
debentures, stocks or bonds issued or proposed to be issued by a government;
life products including:
investment life insurance products as well as any products issued by a Registered Life Insurance Company that are backed by one or more of its statutory funds; and
life risk insurance products as well as any products issued by a Registered Life Insurance Company that are backed by one or more of its statutory funds;
interests in managed investment schemes including:
investor directed portfolio services;
securities;
superannuation; and
financial products limited to miscellaneous financial investment products limited to managed investment warrants:
to which the definition of derivative in subsection 761D(1) applies that is a financial product of the kind referred to in subparagraph 764A(1)(b)(ii) or 764A(1)(ba)(ii); and
that is transferable; and
that is a warrant as defined in the ASX Operating Rules that has been admitted by the ASX to trading status on a financial market of the ASX;
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;
interests in managed investment schemes limited to:
own managed investment scheme only; and
securities;
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:
deposit products other than basic deposit products;
derivatives;
foreign exchange contracts;
debentures, stocks or bonds issued or proposed to be issued by a government;
life products including:
investment life insurance products as well as any products issued by a Registered Life Insurance Company that are backed by one or more of its statutory funds; and
life risk insurance products as well as any products issued by a Registered Life Insurance Company that are backed by one or more of its statutory funds;
interests in managed investment schemes including:
investor directed portfolio services;
securities;
superannuation; and
financial products limited to miscellaneous financial investment products limited to managed investment warrants:
to which the definition of derivative in subsection 761D(1) applies that is a financial product of the kind referred to in subparagraph 764A(1)(b)(ii) or 764A(1)(ba)(ii); and
that is transferable; and
that is a warrant as defined in the ASX Operating Rules that has been admitted by the ASX to trading status on a financial market of the ASX;
underwriting:
interests in managed investment schemes; and
an issue of securities; and
provide the following custodial or depository services:
operate custodial or depository services other than investor directed portfolio services;
to retail and wholesale clients.
| Name | First provided advice | Qualification and trainings |
|---|---|---|
| Richard Neville Selwyn Lodge | 2010 | Batchelor of Commerce (Finance) - Melbourne University ~ DTR Accreditation, Equities and Derivatives - Stockbrokers Association of Australia ~ RG146 - Stockbrokers Association of Australia |