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Showing 111 - 120 of 651 results for "CommSec"

RARE appoints new state manager

JAMIE WILLIAMSON  |  WEDNESDAY, 30 NOV 2016
RARE Infrastructure has appointed a former CommSec business development manager as its first regional manager for QLD and WA. Working out of a newly opened Brisbane office, Nathan Ahboo has joined RARE to drive and expand client relationships across ...

CommSec pays $200,000 penalty

KERRIE SYDEE  |  WEDNESDAY, 16 NOV 2016
CommSec has paid a $200,000 infringement notice penalty after failing to apply a holder record lock to the accounts of a deceased client and entering into unauthorised market transactions following the client's death. The Markets Disciplinary Panel ...

CommSec hit with $700,000 fines

ALEX BURKE  |  FRIDAY, 2 SEP 2016
CommSec has paid $700,000 in infringement notice penalties and voluntarily refunded $1.1 million in brokerage. The infringement notices were given by ASIC's Markets Disciplinary Panel, which the regulator said "had reasonable grounds to believe CommSec ...

Insync apppoints new BDM from YBR

ALEX BURKE  |  TUESDAY, 26 JUL 2016
... wealth operations. Prior YBR, she was client service manager - investments at Tempus Wealth, and has also held roles at CommSec. At Insync, she will start by participating in Financial Standard 's annual Advisers Big Day Out Investment Manager Roadshow ...

Westpac hires senior compliance manager from CommSec

ALEX BURKE  |  THURSDAY, 7 JUL 2016
Westpac has appointed a new senior compliance manager. Dorota Piotrowicz joins Westpac from CommSec, where she was a risk senior manager. Prior to that, she worked in operational risk at BNP Paribas and was an internal audit manager at Macquarie. This ...

Dion Global targets IRESS market share with new platform

MARK SMITH  |  MONDAY, 6 JUN 2016
Captial markets fintech Dion Global is attempting to carve out a portion of IRESS's market share with the launch of a new retail trading platform, TCPro. The new system gives retail traders institutional-level capabilities they can't currently access ...

T+2 settlement arrives on Monday

DARREN SNYDER  |  FRIDAY, 4 MAR 2016
... significant competitive advantage at a time when global investors are yearning for confidence, transparency and certainty. CommSec managing director Paul Rayson said the firm is well prepared for the change to T+2. "Planning will be put to the ultimate ...

Topdocs adds Commonwealth Bank integration

MARK SMITH  |  WEDNESDAY, 17 FEB 2016
... created the ability for advisers to populate a Commonwealth Bank Accelerator Cash Account application - distributed by CommSec Adviser Services - at the same time as establishing their self-managed super funds through its Instant SMSF online application. ...

Margin loans keep pace with shrinking customer-base

ALEX BURKE  |  WEDNESDAY, 10 FEB 2016
... that this "has translated into satisfaction with margin lenders returning to pre-GFC levels." In this regard, Leveraged, CommSec and BT Margin Lending were the most popular options. The report also estimated that there are a further 96,000 investors ...

CBA to close institutional equities business

MARK SMITH  |  TUESDAY, 8 DEC 2015
... parts of our business, we have not been able to provide access to global equity markets." The new alliance will enable CommSec and Commonwealth Private Bank customers to access Goldman Sachs' pipeline of equity offerings, including IPOs and will also ...