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Showing 1261 - 1270 of 3712 results for "Order"

Former adviser cops 20-year prison sentence

JAMIE WILLIAMSON  |  FRIDAY, 2 AUG 2019
A former financial adviser in the US will spend the next 20 years behind bars after defrauding retiree investors of $30 million, some of which was used to fund religious ceremonies to ward off federal investigators. Dawn Bennett of Maryland was this ...

Australian equity markets remain clean: ASIC

KRISTI CHENG  |  THURSDAY, 1 AUG 2019
... strengthen surveillance of listed equity markets. This includes increasing monitoring on brokers with high levels of unusual order flow and clients, or group of clients that repeatedly exhibit unusual trading behaviour. In addition to current measures ...

Sydney portfolio manager on best female fundies list

KANIKA SOOD  |  TUESDAY, 30 JUL 2019
... factors in all the eligible funds, across all asset classes and sectors, that an individual has run over that time period in order to determine a Citywire AAA, AA, A or + rating each month for a fund manager, on a three-year rolling basis. "The individual ...

Consultancy launches virtual business coaching

HARRISON WORLEY  |  TUESDAY, 30 JUL 2019
... aware of the need to run their business like a business. Certainly, with the client still at the core of all they do, but in order to have a sustainable future, they need to dedicate the time to iterate their business model," Elixir Consulting founder ...

Shorting doesn't have to be risky: Solaris

ELIZABETH MCARTHUR  |  THURSDAY, 25 JUL 2019
... chief investment officer Sean Martin told the 2019 Pinnacle Investment Summit that shorting doesn't have to be risky in order to be successful. Martin took to the stage to explain Solaris' preferred shorting techniques and to dispel what he sees as some ...

Keybridge shareholder threatens board spill

KANIKA SOOD  |  TUESDAY, 23 JUL 2019
A shareholder of Keybridge Capital says its board is "effectively deadlocked" on key decisions, and is asking all directors to voluntarily resign and put themselves up for re-election by shareholders. Bentley Capital owns about 20% of Keybridge Capital ...

YouTube fundie called out by FCA

ELIZABETH MCARTHUR  |  FRIDAY, 19 JUL 2019
... affords Neil and the team the required time to execute the changes to the portfolio that we have outlined previously, in order to deliver the best possible outcomes for you, our investors." He promised that when the fund reopens investors will see a ...

Portfolio manager caught out faking returns

KANIKA SOOD  |  FRIDAY, 19 JUL 2019
... excessive fund management fees attributable to Rege's mispricing. Without admitting or denying the findings in the SEC's order, Rege agreed to a cease-and-desist order, an associational bar and investment company prohibition with a right to apply ...

350 tax practitioners under investigation

ELIZABETH MCARTHUR  |  WEDNESDAY, 17 JUL 2019
The Tax Practitioners Board revealed 350 tax practitioners are currently under investigation for high risk behaviour. Those high risk behaviours include failing to meet personal tax obligations, over-claiming work-related expenses on behalf of clients ...

Nomura ordered to pay back US $25m

KANIKA SOOD  |  TUESDAY, 16 JUL 2019
The giant's securities business has been ordered to pay back US $25 million to clients misled by its bond traders, in an enforcement action by the US corporate regulator. Many of Nomura's bond traders made false and misleading statements to customers ...