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Financial Advisers: CI-MING LIN Information

This is the detailed information about CI-MING LIN, it is the Financial Advisers, its unique identifying number allocated to the credit licensee is 000260109, the year the Financial Adviser first provided advice is 1996 (YYYY), the name of the register the record belongs to Financial Advisers. This data update on: 2020-10-28 16:55:29.

Financial Adviser Number: 000260109
Financial Adviser Name: CI-MING LIN
The role of the Financial Adviser: Financial Adviser
The year the Financial Adviser first provided advice: 1996
Adviser Town: Sydney
Adviser State: NSW
Adviser Country: Australia
  1. The sub type of the Financial Adviser: Financial Adviser
    Financial Adviser Status: Current
    Name of the licence holder: CANACCORD GENUITY FINANCIAL LIMITED
    Licence Number: 000239052
    Licence ABN: 69008896311
    The company(ies) or people who control the licensee's business: CANACCORD FINANCIAL GROUP (AUSTRALIA) PTY LTD ~ CANACCORD GENUITY FINANCIAL LIMITED [Date Ceased: 2019-10-23]
    The date the Financial Adviser commenced the appointment: 2004-02-01
    Authorised Representative Name: CANACCORD GENUITY FINANCIAL LIMITED
    Authorised Representative Number: 000239052
    Rep Appointed ABN: 69008896311
    Fin Deposit and Payment Products/Non-basic Deposit Products: 1
    Fin Derivatives: 1
    Fin Government Debentures, Stocks or Bonds: 1
    Fin Managed Investment Schemes, including IDPS: 1
    Fin Securities: 1
    Fin Margin Lending Facility/Non-Standard Margin Lending Facility: 0
    Provides details on the qualifications or training courses the adviser has completed that are relevant to providing FS: ADA1 - ASX ~ ASIC PS146 Compliance (Securities and Managed Investments) - Securities and Derivatives Industry Association ~ Ethics and Professionalism in Financial Advice - Kaplan ~ Margin Lending - Stockbrokers Association of Australia ~ Professional Diploma in Stockbroking - Stockbrokers Association of Australia
    Provides details on the qualifications the adviser has completed that are FASEA approved: 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan
    Provides details of memberships of professional bodies or industry associations relevant to providing financial services: Stockbrokers and Financial Advisers Association (SAFAA)
    Provides details on areas the Financial Adviser is restricted from giving advice on: Authorised to provide personal financial product advice to retail clients on:Derivatives - Level 1.



Data Dictionary

The company(ies) or people who control the licensee's business: They can sometimes be a majority shareholder or able to control votes at meetings or board composition.
Disciplinary action type: Disciplinary action type. ASIC has regulatory powers in relation to financial advisers and can ban individuals from providing financial product advice.
Fin, e.g: Fin Carbon Credits/Carbon Unit, means Provide Financial Product Advice - Carbon Credits/Carbon Unit. The following logic is applied to product authorisation codes. IF Financial Adviser is authorised to provide advice on this product AND their status equals current THEN show 1 ELSE show null. Product Authorisations are for current Financial Advisers only, null values are used for ceased Financial Advisers.
If more than one entry exists they will be concatenated together and separated by a tilde.