Australian Financial Services Licensee

Transcription

1 Extracted from ASIC's database at AEST 22:44:56 on 22/02/2018 Current Details Previous License Details - Pre FSR Addresses Trading Name(s) Roles Name: Licence Number: Status: Current ABN: Commenced: 03/02/2004 Role: Futures Broker Licence number: Commenced: 23/06/1994 Principal Business Address: 'Tower 1' Level 10, 495 Victoria Avenue, CHATSWOOD NSW 2067 External Dispute Resolution Service Address: 'Tower 1' Level 10, 495 Victoria Avenue, CHATSWOOD NSW 2067 Name: TREND FINANCIAL PLANNING Commenced: 24/08/2015 Role: Auditor of FS Licensee Name: TEEFY WOLFE AUDITORS PTY LTD Commenced: 20/01/2014 Scheme: Financial Ombudsman Service Membership Number: Commenced: 01/07/2008 From: 28/07/2015 (i) deposit and payment products (A) basic deposit products; (B) deposit products other than basic deposit products; (ii) derivatives; (iii) foreign exchange contracts; (iv) debentures, stocks or bonds issued or proposed to be issued by a government; (v) life products including: (A) investment life insurance products as well as any products issued by a Registered Life more of its statutory funds; and (B) life risk insurance products as well as any products issued by a Registered Life 22/02/2018 AEST 22:44:56 1

2 more of its statutory funds; (vi) interests in managed investment schemes including: (A) investor directed portfolio services; (vii) interests in managed investment schemes limited (B) MDA services; (viii retirement savings accounts ("RSA") products (within the meaning of the Retirement Savings Account Act 1997); (ix) securities; (x) standard margin lending facility; and (xi) superannuation; the following (A) derivatives (1) derivatives restricted to those arrangements that are, at the time of providing a financial service, subject to the operating rules of a licensed market complying with Regulation (e)(i) or Regulation (e)(ii); (C) interests in managed investment schemes (1) own managed investment scheme only; (2) MDA services; and (A) deposit and payment products (1) basic deposit products; (2) deposit products other than basic deposit products; (B) derivatives; (C) foreign exchange contracts; (D) debentures, stocks or bonds issued or proposed to be issued by a government; (E) life products including: (1) investment life insurance products as well as 22/02/2018 AEST 22:44:56 2

3 any products issued by a Registered Life more of its statutory funds; and (2) life risk insurance products as well as any products issued by a Registered Life more of its statutory funds; (F) interests in managed investment schemes including: (1) investor directed portfolio services; (G) retirement savings accounts ("RSA") products (within the meaning of the Retirement Savings Account Act 1997); (H) securities; (I) standard margin lending facility; and (J) superannuation; and (c) provide the following custodial or depository services: (i) operate custodial or depository services other than investor directed portfolio services; From: 29/02/2012 (i) derivatives; (ii) foreign exchange contracts; (iii) interests in managed investment schemes excluding investor directed portfolio services; (iv) interests in managed investment schemes limited (A) MDA services; (v) securities; and (vi) standard margin lending facility; the following (A) derivatives limited to; (1) derivatives restricted to those arrangements that are, at the time of providing a financial service, subject to the operating rules of a licensed market complying with 22/02/2018 AEST 22:44:56 3

4 Regulation (e) (i) or Regulation (e)(ii); (C) interests in managed investment schemes (1) own managed investment scheme only; (2) MDA services; and (A) derivatives; (B) foreign exchange contracts; (C) interests in managed investment schemes excluding investor directed portfolio services; (D) securities; and (E) standard margin lending facility; and (c) provide the following custodial or depository services: (i) operate custodial or depository services other than investor directed portfolio services; From: 11/08/2010 (i) derivatives; (ii) foreign exchange contracts; (iii) interests in managed investment schemes limited (A) MDA services; (iv) securities; and (v) standard margin lending facility; and the following (A) interests in managed investment schemes (1) MDA services; and 22/02/2018 AEST 22:44:56 4

5 (A) derivatives; (B) foreign exchange contracts; (C) securities; and (D) standard margin lending facility; From: 10/08/2007 (i) derivatives; (ii) foreign exchange contracts; (iii) interests in managed investment schemes limited (A) MDA services; and (iv) securities; and the following (A) interests in managed investment schemes (1) MDA services; and (A) derivatives; (C) securities; From: 03/02/2004 (i) derivatives (A) old law futures contracts; (B) old law securities options contracts and warrants; (ii) foreign exchange contracts; and (iii) securities; and 22/02/2018 AEST 22:44:56 5

6 (i) applying for, acquiring, varying or disposing (A) derivatives (1) old law futures contracts; (2) old law securities options contracts and warrants; (C) securities; Further information relating to this Licensee may be purchased from ASIC. 22/02/2018 AEST 22:44:56 6