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;
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; and
deal in a financial product by:
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;
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;
to retail and wholesale clients.
| Name | First provided advice | Qualification and trainings |
|---|---|---|
| Chris Pantu | 2003 | 1989 - Bachelor of Business (Economics) - Bachelor Degree (AQF 7) - Victoria College ~ 2003 - Diploma of Financial Planning - Advanced Diploma (AQF 6) - FPA Australia - Deakin University ~ 2003 - Self-Managed Super Funds Course - Other - Integratec Australia ~ 2004 - Certified Financial Planner Education Program - Professional Designations - FPA Australia - Deakin University ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Higher Education |
| KA Jin Ching | 2004 | 2004 - Bachelor of Business (Economics and Finance) - Bachelor Degree (AQF 7) - RMIT ~ 2004 - Certified Financial Planner Education Program - Professional Designations - FPA Australia - Deakin University ~ 2004 - Diploma of Financial Planning - Advanced Diploma (AQF 6) - FPA Australia - Deakin University ~ 2010 - Self-Managed Super Funds Course - Other - Integratec Australia ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Higher Education |
| Nicholas Pantu | 1999 | 1998 - Bachelor of Commerce - Bachelor Degree (AQF 7) - Deakin University ~ 2003 - Diploma of Financial Planning - Advanced Diploma (AQF 6) - FPA Australia - Deakin University ~ 2003 - Self-Managed Super Funds Course - Other - Integratec Australia ~ 2004 - Certified Financial Planner Education Program - Professional Designations - FPA Australia - Deakin University ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Higher Education |