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Showing 101 - 110 of 429 results for "stockbroking"

Former Fidelity consultant joins Legg Mason

ALEX BURKE  |  WEDNESDAY, 31 JAN 2018
... 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. At the time, Sowerby commented: "We have sustained ...

Powerwrap, OneVue vets join MGP

JAMIE WILLIAMSON  |  MONDAY, 1 JAN 2018
... its acquisition of Linear. Richard Carr has joined MGP as a business development manager to aid the growth of MGP's stockbroking channel, with its newly expanded capability to deliver a Portfolio Administration Service to both ASX participants and non-ASX ...

Federal Government names Royal Commission lead

JAMIE WILLIAMSON  |  MONDAY, 4 DEC 2017
... Association (SAFAA) voiced concerns that the Royal Commission could lead to further and unnecessary regulation of the stockbroking industry. SAFAA chief executive Andrew Green labelled the inclusion of the stockbroking industry within the terms of reference ...

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 ...