Newspaper icon
The latest issue of Financial Standard now available as an e-newspaper
READ NOW

Search Results

Showing 101 - 110 of 426 results for "stockbroking"

Centrepoint adviser banned

JAMIE WILLIAMSON  |  TUESDAY, 28 NOV 2017
... statement read. Separately, ASIC also recently accepted an enforceable undertaking from a Sydney investment banking, stockbroking and research firm following an investigation into conflicts of interest.

Sydney licensee caught out on conflicts

JAMIE WILLIAMSON  |  MONDAY, 27 NOV 2017
ASIC accepted an enforceable undertaking from a Sydney investment banking, stockbroking and research firm following an investigation into conflicts of interest. In July 2015 Foster Stockbroking was the sole lead manager for the initial public offering ...

HUB24 upgrades platform

KARREN VERGARA  |  MONDAY, 20 NOV 2017
... opening facility, for margin lending and cash management for example, will soon be released. Users can also open a stockbroking and HUB24 account in a single process utilising electronic signatures and a single client identification process for both ...

Penalty issued for ASX rules breach

JAMIE WILLIAMSON  |  THURSDAY, 16 NOV 2017
One of Australia's largest stockbroking and financial advice firms was slapped with a $358,000 infringement notice by the corporate regulator. Bell Potter Securities, part of Bell Financial Group, has been ordered by ASIC's Markets Disciplinary Panel ...

Former BBY adviser cops 10-year ban

KARREN VERGARA  |  WEDNESDAY, 8 NOV 2017
... corporate regulator ASIC said. ASIC banned Perth-based Sergio Nicolo Belardo, a former authorised representative of stockbroking firm BBY between September 2013 to May 2015, after an investigation found he traded in clients' accounts without authorisation. ...

Legg Mason hires national BDM

KARREN VERGARA  |  TUESDAY, 31 OCT 2017
... national sales manager of wholesale sales. Prior to joining UBS, he was an equity and derivative sales manager with Shaw Stockbroking, and worked in hedge fund and derivative sales at Phillip Capital. Muston will be responsible for strengthening key ...

Investment boutique adds global SMA

JAMIE WILLIAMSON  |  WEDNESDAY, 25 OCT 2017
... as transparency, lack of pooled tax consequences and low cost. "PPM saw the Powerwrap Smartwrap platform, with its stockbroking and execution for Australia and global markets, as a compelling partner for launching their first global SMA. PPM will be ...

HUB24 partners for white label platform

JAMIE WILLIAMSON  |  THURSDAY, 19 OCT 2017
... existing infrastructure underpinning their business. "New products and functionality for clients complement our existing stockbroking business, which has been highly successful for nearly 20 years," Webster said. HUB24 managing director Andrew Alcock ...

New research director joins APP Securities

ALEX BURKE  |  WEDNESDAY, 11 OCT 2017
Following on from its partnership with Ignition Wealth, investment banking and stockbroking firm APP Securities has appointed a new research director to replace Russell Wright. David Fraser joins APP Securities from Shaw and Partners, where he was a ...

Small cap veteran joins listed equities manager

ALEX BURKE  |  THURSDAY, 5 OCT 2017
... Glennon. Powditch has held portfolio management roles at Citigroup and BNP Paribas; he was also a partner at Shaw Stockbroking (now Shaw and Partners) and, more recently, Bligh Capital Securities. He was also a journalist for Australian Business Magazine ...