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 | Bachelor of Science - Monash University ~ Fellow of the Institute of Actuaries of Australia - Institute of Actuaries of Australia ~ PS146 - ASFA |
| Guy Brian Holley | 2002 | Bachelor of Economics - Macquarie University ~ Fellow of the Institute of Actuaries of Australia - Institute of Actuaries of Australia ~ Graduate Diploma in Applied Finance and Investment - FINSIA ~ PS146 - ASFA |
| Julian Hotz | 1997 | Bachelor of Commerce - Rhodes University ~ Fellow of the Institute of Actuaries of Australia - Institute of Actuaries of Australia ~ PS146 - Securities Institute |
| Mark Philip Nelson | 2002 | Bachelor of Commerce - University of Melbourne ~ Fellow of the Institute of Actuaries of Austalia - Institute of Actuaries of Australia ~ PS146 - Securities Institute |
| Mark Samuels | 2018 | Accredited mmeber of the Institute of Actuaries of Australia - Institute of Actuaries of Australia ~ Bachelor of Actuarial Science (Honors) - Heriot Watt University ~ Fellow of the Institute and Faculty of Actuaries (UK) - Institute and Faculty of Actuaries (UK) ~ Fellow of the New Zealand Society of Actuaries - New Zealand Society of Actuaries ~ RG146 - ASFA |
| Richard Stuart Boyfield | 2013 | Bachelor of Arts (Economics) - University of Durham ~ Fellow of the Institute and Faculty of Actuaries - Institute and Faculty of Actuaries (UK) ~ Fellow of the Institute of Actuaries of Australia - Institute of Actuaries of Australia ~ PS146 - Securities Institute |
| Timothy Simon Jenkins | 2018 | BA (hons) Economics - University of Durham ~ FIAA - Actuaries Institute of Australia ~ Fellow of Institute of Actuaries (UK) - Institute of Actuaries (UK) ~ RG146 - ASFA |