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;
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;
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:
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;
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;
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 |
|---|---|---|
| Andrew Siang Han Kuah | 2014 | 2008 - Bachelor of Commerce in Accounting - - Macquarie University ~ 2009 - Master of Commerce in Accounting and Finance - - Macquarie University ~ 2013 - Diploma of Financial Planning - - Kaplan Professional ~ 2019 - FNSTPB506 Apply taxation requirements when providing tax (financial) advice services - Other - Monarch Institue ~ 2019 - FNSTPB507 Apply legal principles in commercial law when providing tax (financial) advice services - Other - Monarch Institute |
| Robert Gavin Shears | 2005 | 2005 - Diploma of Financial Planning - - Tribeca Learning ~ 2006 - Advanced Diploma of Financial Planning - - Tribeca Learning ~ 2006 - SMSF Adviser Education Program - - Financial Essentials ~ 2010 - Certified Financial Planner - - Financial Planning Standards Board |