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Home Forums Australian Financial Services Licensing (AFSL) Forum RM needed for Retail Responsible Entity & Investment Manager

This topic contains 1 reply, has 1 voice, and was last updated by  DanTrader 2 months, 3 weeks ago.

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  • #5605 Reply

    DanTrader

    I’m seeking an RM with at least 3 of the last 5 yrs (or 5 of last yrs) working for a retail Responsible Entity to cover the following specific authorisations:

    Deal (issuing, applying for, acquiring, varying or dispose of a financial product) to:
    – Retail clients
    – Wholesale clients
    In
    – Interests in managed investment schemes limited to:
    Own Managed Investment Scheme only

    AND/or

    Operate a registered scheme to
    – Retail clients
    – Wholesale clients
    In
    – Derivatives
    – Financial Assets

    Relevant experience could inclue:

    Operating their own retail registered scheme

     Operating their own retail scheme with derivatives and financial assets, including calculating

    and/or verifying unit prices and unit registry transactions, issuing units, scheme investment

    accounting and administration records, etc: and/or

     Dealing on behalf of retail investors in their Own registered (retail) Managed Investment Scheme,

    including fx and derivatives, performing investment research and analysis, dealing, and cash flow

    and portfolio management; providing written and/or verbal general financial product advice to

    retail investors such as client reports, presentations, etc; verifying unit prices and scheme

    performance and other Responsible Entity and Investment Manager activities for retail clients

    If that sounds like you please contact dan68trader@gmail.com

    #5606 Reply

    DanTrader

    apologies, “RM with at least 3 of the last 5 yrs (or 5 of last 8yrs)”

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Reply To: RM needed for Retail Responsible Entity & Investment Manager

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