Advice and stock broking firm fined $35kBY HARRISON WORLEY | WEDNESDAY, 13 JUN 2018 12:48PMAn advice and stockbroking firm offering services to institutional and private wealth investors has copped a $35,000 fine to comply with an infringement notice served by the markets disciplinary panel. Related News |
Editor's Choice
Equip Super awards custody mandate
Equip Super has selected a new custodian and back-office administrator to replace NAB Asset Servicing.
SMSFs' use of advisers plummets: Research
The number of self-managed super funds (SMSFs) using advisers has reached a new low, with the proportion of SMSFs using advisers falling to 23% from 27% in the past 12 months, according to a Vanguard/Investment Trends report.
Financial services firms concerned about attracting staff
New research from Robert Half suggests 74% of the finance industry is concerned about their ability to attract and retain staff.
ASIC issues experienced pathway guidance
ASIC has released new guidance for financial advisers who could potentially qualify as experienced providers and skip further education and training.
Products
Featured Profile
Matt Gaden
HEAD OF AUSTRALIA
JANUS HENDERSON INVESTORS (AUSTRALIA) LIMITED
JANUS HENDERSON INVESTORS (AUSTRALIA) LIMITED
Helping investors traverse financial markets and build their wealth during the peaks and troughs is Janus Henderson Investors head of Australia Matt Gaden's game plan. He tells Karren Vergara why in this long game of investing, active management wins.