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:
retirement savings accounts ("RSA") products (within the meaning of the Retirement Savings Account Act 1997);
superannuation; and
provide financial product advice to wholesale clients 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;
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; and
deal in a financial product by:
applying for, acquiring, varying or disposing of a financial product on behalf of another person to wholesale clients 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;
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;
retirement savings accounts ("RSA") products (within the meaning of the Retirement Savings Account Act 1997);
securities; and
superannuation.
| Name | First provided advice | Qualification and trainings |
|---|---|---|
| Esther Joan Conway | 2012 | 1992 - Bachelor of Science - - Monash University ~ 1998 - Fellow of the Institute of Actuaries of Australia - - Institute of Actuaries of Australia ~ 2003 - PS146 - - ASFA |
| Guy Brian Holley | 2002 | 1986 - Bachelor of Economics - - Macquarie University ~ 1991 - Fellow of the Institute of Actuaries of Australia - - Institute of Actuaries of Australia ~ 2000 - Graduate Diploma in Applied Finance and Investment - - FINSIA ~ 2002 - PS146 - - ASFA |
| Julian Hotz | 1997 | 1979 - Bachelor of Commerce - - Rhodes University ~ 1996 - Fellow of the Institute of Actuaries of Australia - - Institute of Actuaries of Australia ~ 2000 - PS146 - - Securities Institute |
| Mark Philip Nelson | 2002 | 1992 - Bachelor of Commerce - - University of Melbourne ~ 1999 - Fellow of the Institute of Actuaries of Austalia - - Institute of Actuaries of Australia ~ 2002 - PS146 - - Securities Institute |
| Mark Samuels | 2018 | 2010 - Bachelor of Actuarial Science (Honors) - - Heriot Watt University ~ 2015 - Fellow of the Institute and Faculty of Actuaries (UK) - - Institute and Faculty of Actuaries (UK) ~ 2018 - Accredited mmeber of the Institute of Actuaries of Australia - - Institute of Actuaries of Australia ~ 2018 - Fellow of the New Zealand Society of Actuaries - - New Zealand Society of Actuaries ~ 2018 - RG146 - - ASFA |
| Richard Stuart Boyfield | 2013 | 1997 - Bachelor of Arts (Economics) - - University of Durham ~ 2005 - Fellow of the Institute and Faculty of Actuaries - - Institute and Faculty of Actuaries (UK) ~ 2013 - PS146 - - Securities Institute ~ 2014 - Fellow of the Institute of Actuaries of Australia - - Institute of Actuaries of Australia |
| Timothy Simon Jenkins | 2018 | 1985 - BA (hons) Economics - - University of Durham ~ 1989 - Fellow of Institute of Actuaries (UK) - - Institute of Actuaries (UK) ~ 1993 - FIAA - - Actuaries Institute of Australia ~ 2002 - RG146 - - ASFA |