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Showing 121 - 130 of 1988 results for "Australian Securities"

ANZ launches global technology ETF

EMMA RAPAPORT  |  TUESDAY, 11 APR 2017
... said. The new ETF will have a management cost of 0.45% per annum and is expected to begin trading on the Australian Securities Exchange on 11 April 2017.

ABA committing to industry reforms

KARREN VERGARA  |  THURSDAY, 30 MAR 2017
... understand their banking rights and responsibilities, as well as giving the Compliance Monitoring Committee and Australian Securities and Investments Commission more oversight and enforcement powers over the industry, Ohlsson said.

ASIC releases RE compliance obligations

KARREN VERGARA  |  TUESDAY, 28 MAR 2017
The Australian Securities and Investment Commission is urging responsible entities to maintain adequate risk management systems to avoid any adverse consequences for investors. ASIC's recently released regulatory guide - RG 259 Risk Management systems ...

Adviser contravenes FoFA obligations

EMMA RAPAPORT  |  MONDAY, 20 MAR 2017
... (trading as Yes FS), have been accused by the regulator of various breaches of the Corporations Act and the Australian Securities and Investments Commission Act. This includes alleged breaches of the best interests obligations, engaging in unconscionable ...

Credit Suisse fined for systems mishap

KARREN VERGARA  |  THURSDAY, 16 MAR 2017
Investment bank Credit Suisse was slapped with a $170,000 fine from the Australian Securities and Investment Commission for failing to have the appropriate price limits in place across its automated order processing (AOP) systems. The watchdog found ...

Westpac faces lending practices breach: ASIC

KARREN VERGARA  |  THURSDAY, 2 MAR 2017
The Australian Securities and Investment Commission is taking Westpac to the Federal Court for allegedly breaching home-loan responsible lending practices. Between December 2011 and March 2015, the regulator claims Westpac failed to properly assess ...

iShares receives 'recommended' rating

EMMA RAPAPORT  |  FRIDAY, 24 FEB 2017
... iShares Australia Jon Howie noted iShares has the most comprehensive range of smart beta ETFs listed on the Australian Securities Exchange (ASX), and commented that "iShares Edge Smart Beta ETFs are designed to provide Australian investors with a low ...

AAT upholds adviser appeal against ASIC

EMMA RAPAPORT  |  TUESDAY, 24 JAN 2017
... upheld an appeal by Tony Davidof, a former Macquarie Equities accredited derivatives adviser, against the Australian Securities and Investments Commission. In 2015, ASIC banned Davidof from providing financial services for three years after he and a ...

SMSFs continue hunt for information

JAMIE WILLIAMSON  |  FRIDAY, 9 DEC 2016
... AMP Capital managed funds but are able to be bought and sold during the trading day like any share on the Australian Securities Exchange. We expect greater interest in these funds next year as trustees and advisers learn how to use them in a balanced ...

ASIC confirms systemic failures in advice

KERRIE SYDEE  |  THURSDAY, 27 OCT 2016
The Australian Securities and Investment Commission has confirmed systemic failures at 21 Australian Financial Services Licensees in providing ongoing advice services to clients. Identified in ASIC's 'Financial advice: Fees for no service' report, the ...