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;
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;
standard margin lending facility; and
superannuation; and
deal in a financial product by:
arranging for another person to apply for, acquire, vary or dispose of financial products in respect of the following classes of financial products:
deposit and payment products limited to:
basic deposit products;
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;
standard margin lending facility; and
superannuation;
to retail and wholesale clients.
| Name | First provided advice | Qualification and trainings |
|---|---|---|
| Christopher Jeremy Land | 2007 | 1988 - BA (Hons) Retail Marketing - - Manchester Metropolitan University ~ 2011 - Licensing Examination Papers 1,7 & 8 - - Hong Kong Securities & Investment Institute ~ 2017 - Tier1 Generic Knowledge, Superannuation Personal Advice - - Kaplan Professional ~ 2020 - Ontrack CPD - Other - Kaplan Professional ~ 2021 - Superannuation and Retirement Advice - Other - Kaplan |
| Daniel Paul Hackett | 2014 | 2007 - Bachelor of Business (Accounting Major) - - Australian Catholic University ~ 2012 - Master of Commerce - - RMIT University ~ 2014 - Diploma of Financial Planning - - International Institute of Technology ~ 2016 - Introduction to Securities & Investment (International) - - Chartered Institute for Securities & Investment |
| Emily Tara Freundt | 2016 | 2014 - Bachelor of Commerce - - University of Adelaide ~ 2015 - Financial Planning PS 146 - - Intergrity Education Group |
| Eszter Nagy | 2005 | 2005 - Diploma of Financial Services (PS146) - - Mentor Education ~ 2010 - Master of Commerce (Financial Planning) - - University of Western Sydney ~ 2013 - M5, M8A, M9, HI - - Singapore College of Insurance |
| Gregory Carmel Smith | 2009 | 2009 - Bachelor of Laws LLB - - Chinese University of Hong Kong ~ 2011 - Level 2 Award - - Chartered Institute for Securities and Investment ~ 2015 - Associate Financial Planner Exams - - Institute of Financial Planners Hong Kong ~ 2016 - Diploma of Financial Planning, Specialist Knowledge, SMSF - - Integrity Education Group ~ 2016 - Licensing Examination Paper 1 - - Hong Kong Securities & Investment Instiyute |
| Lucy Xiao-wei Zheng | 2004 | 1996 - Bachelor of Commerce - - University of New South Wales ~ 2002 - Diploma of Superannuation Management - - Association of Superannuation Funds Australia ~ 2006 - Advanced Diploma of Financial Services - - Kaplan (formerly Tribeca) ~ 2011 - Certified Financial Planner - - Financial Planning Association |
| Nicholas James Leopold Shiroi | 2011 | 2003 - BUSINESS WITH FINANCE BA HONS - - PLYMOUTH BUSINESS SCHOOL - UK ~ 2011 - Award in Financial Planning - - Chartered Insurance Institute - UK ~ 2016 - Insurance Intermediaries: Principles & Practices, Long Term Insurance, Investment Linked Insurance - - PEAK-Vocational Training Council - Hong Kong ~ 2018 - Financial Services, Regulation and Ethics - - LONDON INSTITUTE OF BANK AND FINANCE - UK ~ 2018 - Full Diploma Tier 1:Generic Knowledge, Managed Investments, Superannuation, SMSF, Life Insurance - - Financial Educational Professionals |
| Ross Allen Smith | 1983 | 1981 - Bachelor of Economics - - University of Adelaide ~ 1994 - Certified Financial Planner - - Financial Planning Association of Australia Limited ~ 1999 - Master of Business Administration (Advanced) - - University of Queensland ~ 2004 - Master of Commerce in Applied Finance - - University of Queensland ~ 2011 - Master of Laws in Corporate & Financial Law - - University of Hong Kong |
| Susan Scott Khoo | 2009 | 1967 - Diploma of Teaching - - Western Teachers College - Adelaide ~ 2008 - Diploma of Financial Services - - PS146 Training Australia ~ 2010 - Certificate of Margin Lending and Gearing - - Kaplan Professional ~ 2014 - Tax (Financial) Adviser - - Tax Practioners Board |
| William Jialu Cheng | 2018 | 2008 - Diploma of Business Administration - - La Trobe University ~ 2011 - Bachelor of Accounting - - La Trobe University ~ 2016 - Diploma of Financial Planning - - Mentor Education |