This licence authorises the licensee to carry on a financial services business to:
provide financial product advice for the following classes of financial products:
derivatives limited to:
derivatives relating to the wholesale price of grain only; and
foreign exchange contracts; and
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 limited to:
derivatives relating to the wholesale price of grain; and
other derivatives which are entered into for the purpose of managing a financial risk that arises in the ordinary course of the activities of the person where the person:
is not making a market for any such derivatives; and
is only dealing in any such derivatives on the person's own behalf; and
foreign exchange contracts; and
applying for, acquiring, varying or disposing of a financial product on behalf of another person in respect of the following classes of products:
derivatives limited to:
derivatives relating to the wholesale price of grain; and
other derivatives which are entered into for the purpose of managing a financial risk that arises in the ordinary course of the activities of the person where the person:
is not making a market for any such derivatives; and
is only dealing in any such derivatives on the person's own behalf; and
foreign exchange contracts;
to retail and wholesale clients.
| Name | First provided advice | Qualification and trainings |
|---|---|---|
| Christopher James Tonkin | 2008 | AICD Company Directors Graduate Course - AICD ~ Course in Professional Grain Trading - GTA/NSW TAFE ~ PS146 Tier 1 Compliance - Securities Institute of Australia ~ RG146 Regulations - Financial Education Professionals ~ RG146 Risk Management - Financial Education Professionals |
| Kenneth Albert Mccartney | 2018 | Bachelor of Commerce (Accounting & Taxation) - Curtin University ~ CPA - CPA Australia (4 units, ongoing) ~ DFP1 FInancial PLanning Fundamentals - Kaplan professional ~ Diploma of Finance & Mortgage Broking (Dip FMBM) - AAMC |