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Showing 1381 - 1390 of 3712 results for "Order"

Court fines stockbroker $350k

KARREN VERGARA  |  THURSDAY, 22 NOV 2018
The Federal Court has ordered a stockbroking firm to pay a $350,000 penalty for failing to comply with Market Integrity Rules. In early March 2011, State One Stockbroking placed 19 bids on behalf of a client when it should have reasonably suspected ...

UBS fined for careless conduct

DARREN SNYDER  |  WEDNESDAY, 21 NOV 2018
... relation to the buy-backs in circumstances where UBS purchased the securities other than by the matching of orders on an order book. UBS reported the transactions to the ASX as 'Trades with Price Improvement.' ASIC regulatory guidance states: 'Trades ...

New terms for early super access receives mixed reaction

KARREN VERGARA  |  WEDNESDAY, 21 NOV 2018
Victims of domestic violence will be able to access their superannuation thanks to new measures introduced by the Federal Government. Overall the package has been met with mixed reactions. Victims of domestic and family violence will be able to withdraw ...

Royal Commission puts bonuses on notice

HARRISON WORLEY  |  TUESDAY, 20 NOV 2018
... risks, yes, I do," Comyn said. He went on to say he accepted one such risk was staff acting improperly towards customers in order to achieve their bonus - such as when some bank staff were discovered to have made deposits into Youthsaver accounts in ...

Chief economist update: The money is one Fed rate hike next year

BENJAMIN ONG  |  MONDAY, 19 NOV 2018
... off... then so be it, at least economic, financial and business agents can adjust their decisions based on the new world order. And then there's the Fed. Luckily, the latest update is that it's bringing good tidings courtesy of the recently-appointed ...

Global asset managers sign responsible firearms framework

DARREN SNYDER  |  THURSDAY, 15 NOV 2018
... establish, promote, and follow best practices to ensure that no firearm is sold without a completed background check in order to prevent sales to persons prohibited from buying firearms or those too dangerous to possess firearms. Principle 4 : Civilian ...

When aged care advice takes an emotional toll

KARREN VERGARA  |  TUESDAY, 13 NOV 2018
... consider its suitability for clients with $7 million or less in assets. If possible, hire a lawyer to "review everything" in order to avoid hidden fees and charges, she said. Also presenting at the event, Elders Financial Planning financial adviser Wayne ...

Westpac cops BBSW fine

HARRISON WORLEY  |  MONDAY, 12 NOV 2018
... are appropriate, with ASIC due to receive the corresponding report within nine months. Commenting on the pecuniary penalty order he imposed on the bank, Justice Beach said if he could, he would have applied a higher penalty. "If I had been permitted ...

Hedge funds fall out of favour with instos: Report

KARREN VERGARA  |  FRIDAY, 9 NOV 2018
... can either act now to address industry disruptions ranging from technological innovation to products and competition. "In order for alternatives to stay ahead, they need to appease investor demand for customization, implement technology that augments ...

Chief economist update: As safe as Australian houses?

BENJAMIN ONG  |  THURSDAY, 8 NOV 2018
Christian Szell: Is it safe? Babe: Yes, it's safe, it's very safe, it's so safe you wouldn't believe it. Christian Szell: Is it safe? Babe: No. It's not safe, it's... very dangerous, be careful. This is that immortal dialogue ...