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:
basic deposit products;
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;
interests in managed investment schemes limited to:
MDA services;
securities;
standard margin lending facility;
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 Operating Rules of a financial market that is operated by an Australian market licensee and has been admitted to trading status or quotation on a financial market in accordance with the Operating Rules of the financial market;
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;
foreign exchange contracts;
interests in managed investment schemes excluding investor directed portfolio services;
interests in managed investment schemes limited to:
MDA services;
securities; 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 Operating Rules of a financial market that is operated by an Australian market licensee and has been admitted to trading status or quotation on a financial market in accordance with the Operating Rules of the financial market;
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:
basic deposit products;
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;
interests in managed investment schemes limited to:
MDA services;
securities;
standard margin lending facility;
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 Operating Rules of a financial market that is operated by an Australian market licensee and has been admitted to trading status or quotation on a financial market in accordance with the Operating Rules of the financial market;
underwriting:
interests in managed investment schemes; and
an issue of securities;
make a market for the following financial products:
foreign exchange contracts; 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 |
|---|---|---|
| Eric John Fletcher Miles | 2010 | ASX CFD Accreditiation - Kaplan ~ Accredited Derivatives Adviser Level 2 - Kaplan ~ Ethics and Professionalism in Financial Advice - KAPLAN ~ Exam Standard Certification - FASEA ~ Margin Lending & Geared Investments - Kaplan |