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Showing 121 - 130 of 409 results for "Investment adviser"

BNY Mellon subsidiary to pay US$1.5m over ESG misstatements

CASSANDRA BALDINI  |  TUESDAY, 24 MAY 2022
BNY Mellon Investment Adviser will pay US$1.5 million to settle charges brought by the Securities and Exchange Commission (SEC) for misstatements and omissions about ESG considerations in making investment decisions for certain mutual funds that it ...

Allianz subsidiary, former portfolio managers charged over massive fraud

JAMIE WILLIAMSON  |  WEDNESDAY, 18 MAY 2022
... It has been given 10 weeks to transition the US mutual funds it currently provides these services to another investment adviser and four months for the US closed-ended funds it services. Allianz Global Investors has also signed a Memorandum of Understanding ...

Integrated Portfolio Solutions offers Private Markets solution

JAMIE WILLIAMSON  |  TUESDAY, 10 MAY 2022
Integrated Portfolio Solutions is expanding its suite of solutions, launching a new Private Markets offering. IPS will partner with product manufacturers and investment experts across a range of alternative assets classes to provide investment advisers ...

Global X adds to local team

CHLOE WALKER  |  TUESDAY, 29 MAR 2022
... adoption. Prior to working at BlackRock, Hannon spent 12 years at Commonwealth Bank, where he was a senior investment adviser offering investment advice to high and ultra-high net wealth clients on equities, derivatives, and funds. Commenting on his ...

Industry association rebrands

JAMIE WILLIAMSON  |  FRIDAY, 25 MAR 2022
The Stockbrokers and Financial Advisers Association will now be known by a name that more accurately reflects its membership, the body said. The association has received full member support to change its name to Stockbrokers and Investment Advisers ...

Labor promises to recognise adviser experience

KARREN VERGARA  |  FRIDAY, 10 DEC 2021
Labor promises it will dump educational requirements for financial advisers with over a decade's experience if it comes to power. Shadow minister for financial services Stephen Jones said such advisers with a clean record will not be required to ...

High-net-worth investors richer, optimistic

ANNABELLE DICKSON  |  MONDAY, 22 NOV 2021
Australia's high-net-worth (HNW) investors have multiplied in size and wealth, controlling $2.77 trillion in investable assets, new research shows. New research commissioned by Praemium and carried out by Investment Trends found the total number of ...

Frontier wins NZ client

ANNABELLE DICKSON  |  MONDAY, 18 OCT 2021
... billion in funds under management. The board chose to create an investment committee with an institutional investment adviser, a mandate which Frontier won after a tender process. TECT general manager Wayne Werder said Frontier was chosen based on cultural ...

HNW advice firm opens to retail investors

KARREN VERGARA  |  TUESDAY, 5 OCT 2021
... invest is led by the firm's partner Kane Baranow, office and communications manager Tom Hamilton and senior investment adviser Michael Turner.

Ord Minnett names head of equities

KARREN VERGARA  |  THURSDAY, 16 SEP 2021
... Bank for five-and-a-half years. Ord Minnett recently appointed a new state manager for Queensland and senior investment adviser. David Lane joined the firm from Pitcher Partners where he spent over 11 years as a director of wealth management, a unit ...