ROCHFORD CAPITAL PTY LIMITED


Address: Sydney, NSW 2000, Australia

ROCHFORD CAPITAL PTY LIMITED (Licence# 000361276) is an Australian financial service (AFS) licenced with Australian Securities and Investments Commission (ASIC), Australian Financial Services Licensee Register. The licence issue date is August 12, 2010.

Service Overview

Register Name AFS Licence
Licence Name ROCHFORD CAPITAL PTY LIMITED
Licence Number 000361276
Licence ABN 40143601594
Issue Date 2010-08-12
Locality SYDNEY
State NSW
Postcode 2000
Country Australia

Licence condition

This licence authorises the licensee to carry on a financial services business to:
  • provide financial product advice to wholesale clients for the following classes of financial products:
    • deposit and payment products limited to:
      • basic deposit products;
    • derivatives; and
    • foreign exchange contracts;
  • deal in a financial product to wholesale clients by:
    • issuing, applying for, acquiring, varying or disposing of a financial product in respect of the following classes of financial products:
      • derivatives; 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; and
      • foreign exchange contracts; and
  • make a market to wholesale clients for the following financial products:
    • derivatives;
  • make a market to retail and wholesale clients for the following financial products:
    foreign exchange contracts;

    Financial advisers

    Adviser Number Adviser Name Status Start Date
    001005880 RICHARD BREEN Ceased 2010-09-07

    Office Location

    Locality SYDNEY
    State NSW
    Postcode 2000
    Country Australia

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    Postal Code 2000

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    Dataset Information


    Data Provider Australian Securities and Investments Commission (ASIC), Australian Financial Services Licensee Register
    Jurisdiction Australia
    Related Datasets Australian Businesses, Australian Companies

    This dataset includes 33 thousand financial advisers registered with Australian Securities and Investments Commission (ASIC), Australian Financial Services Licensee Register. Australian Financial Services Licensees are required to keep the details of their financial advisers up to date on ASIC's Financial Services Register. Each financial adviser is registered with name, number, role status, ABN, first advice year, licence name and number, licence ABN, adviser start date and end date, appointing representative, disciplinary action, product authorisations, qualifications and training, memberships, etc.