This licence authorises the licensee to carry on a financial services business to:
provide financial product advice to wholesale clients only for the following classes of financial products:
derivatives;
securities;
general insurance 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; and
interests in managed investment schemes excluding investor directed portfolio services; and
deal in a financial product to wholesale clients only by:
arranging for another person to apply for, acquire, vary or dispose of financial products in respect of the following classes of financial products:
derivatives;
securities;
general insurance 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; and
interests in managed investment schemes excluding investor directed portfolio services; and
provide financial product advice to both 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); and
superannuation; and
deal in a financial product to both retail and wholesale clients by:
arranging for another person to apply for, acquire, vary or dispose of financial products in respect of the following classes of financial products:
retirement savings accounts ("RSA") products (within the meaning of the Retirement Savings Account Act 1997); and
superannuation.
| Name | First provided advice | Qualification and trainings |
|---|---|---|
| Stephen John Crump | 2007 | BA (Actuarial Studies) - Macquarie University |