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Showing 91 - 100 of 100+ results for "Australian Securities"

Adviser contravenes FoFA obligations

EMMA RAPAPORT  |  MONDAY, 20 MAR 2017
... (trading as Yes FS), have been accused by the regulator of various breaches of the Corporations Act and the Australian Securities and Investments Commission Act. This includes alleged breaches of the best interests obligations, engaging in unconscionable ...

Credit Suisse fined for systems mishap

KARREN VERGARA  |  THURSDAY, 16 MAR 2017
Investment bank Credit Suisse was slapped with a $170,000 fine from the Australian Securities and Investment Commission for failing to have the appropriate price limits in place across its automated order processing (AOP) systems. The watchdog found ...

Westpac faces lending practices breach: ASIC

KARREN VERGARA  |  THURSDAY, 2 MAR 2017
The Australian Securities and Investment Commission is taking Westpac to the Federal Court for allegedly breaching home-loan responsible lending practices. Between December 2011 and March 2015, the regulator claims Westpac failed to properly assess ...

iShares receives 'recommended' rating

EMMA RAPAPORT  |  FRIDAY, 24 FEB 2017
... iShares Australia Jon Howie noted iShares has the most comprehensive range of smart beta ETFs listed on the Australian Securities Exchange (ASX), and commented that "iShares Edge Smart Beta ETFs are designed to provide Australian investors with a low ...

AAT upholds adviser appeal against ASIC

EMMA RAPAPORT  |  TUESDAY, 24 JAN 2017
... upheld an appeal by Tony Davidof, a former Macquarie Equities accredited derivatives adviser, against the Australian Securities and Investments Commission. In 2015, ASIC banned Davidof from providing financial services for three years after he and a ...

SMSFs continue hunt for information

JAMIE WILLIAMSON  |  FRIDAY, 9 DEC 2016
... AMP Capital managed funds but are able to be bought and sold during the trading day like any share on the Australian Securities Exchange. We expect greater interest in these funds next year as trustees and advisers learn how to use them in a balanced ...

ASIC confirms systemic failures in advice

KERRIE SYDEE  |  THURSDAY, 27 OCT 2016
The Australian Securities and Investment Commission has confirmed systemic failures at 21 Australian Financial Services Licensees in providing ongoing advice services to clients. Identified in ASIC's 'Financial advice: Fees for no service' report, the ...

Wilson submits request to shut down Aurora fund

ALEX BURKE  |  WEDNESDAY, 3 AUG 2016
... hybrid securities issued by Australian entities and entities from other OECD nations - as well as unlisted Australian securities. Keybridge Capital is the investment manager for the fund. Keybridge sold Aurora Funds Management to new entity Seventh Orion ...

Brexit won't impact Australia greatly: Treasurer

DARREN SNYDER  |  FRIDAY, 22 JUL 2016
... the combined views of the Reserve Bank of Australia, the Australian Prudential Regulation Authority, the Australian Securities and Investments Commission, and Treasury. Treasurer Scott Morrison said the report showed Brexit's effect on the Australian ...

Industry leaders in sales and marketing recognised at MAX Awards

MARK SMITH  |  FRIDAY, 24 JUN 2016
... - Market Insights app Finalists Acorns Grow Australia - Acorns AU AMP Banking Group - My AMP mobile app Australian Securities and Investments Commission - TrackMyGOALS (ASIC's MONEY SMART) BT Financial Group - BT Panorama mobile app HOSTPLUS Super - ...