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Showing 121 - 130 of 1665 results for "Register"

Janus Henderson to take on $75bn fixed income portfolio

ELIZA BAVIN | WEDNESDAY, 9 APR 2025

Janus Henderson has entered a strategic partnership with The Guardian Life Insurance Company of America (Guardian) to manage its $75 billion (US$45 billion) investment grade public fixed income portfolio. As part of the partnership, Guardian investment ...

Three AFS licensees pinged over compliance breaches

ANDREW MCKEAN | WEDNESDAY, 9 APR 2025

... their advisers are "fit and proper," and that they meet the applicable education and training standards. "Failure to register a financial adviser creates a risk for consumers," the regulator said. The regulator added that a failure to register financial ...

Queensland adviser banned for five years

MATTHEW WAI | MONDAY, 31 MAR 2025

... financial services business by either BLFG or BLWS. Thomson's banning has been recorded in ASIC's banned and disqualified register and he has the right to appeal to the Administrative Review Tribunal.

Falcon Capital, First Guardian Master Fund set for liquidation

KARREN VERGARA | TUESDAY, 18 MAR 2025

ASIC is attempting to liquidate responsible entity Falcon Capital, wind up the First Guardian Master Fund, as well as impose a receiver and manager to director David Anderson's personal property. The regulator has put into motion the applications ...

NZ council seeks investment manager partner

KARREN VERGARA | WEDNESDAY, 12 MAR 2025

Napier City Council in New Zealand is seeking an investment manager to construct and manage property assets that can grow up to NZ$50 million. Napier City Council, located on the eastern coast of the North Island, put forth a registration of interest ...

SEC drops civil enforcement case against Coinbase

ANDREW MCKEAN | MONDAY, 3 MAR 2025

... unlawfully facilitating the buying and selling of crypto asset securities. The agency alleged that Coinbase's failure to register as a broker, clearing agency, and national securities exchange deprived investors of key protections, including safeguards ...

Freezing order slapped on First Guardian Master Fund, Falcon Capital

KARREN VERGARA | MONDAY, 3 MAR 2025

ASIC has taken action to freeze the assets of the First Guardian Master Fund and its responsible entity Falcon Capital nearly one year after investors were locked out from accessing their funds. The First Guardian Master Fund is run by First Guardian ...

ASIC bans Brisbane-based financial services director

ELIZA BAVIN | TUESDAY, 25 FEB 2025

... law. ASIC said the banning took effect from 19 February 2025 and was recorded on the Banned and Disqualified persons register. ASIC cancelled JB Markets' AFSL from 12 April 2024, however JB Markets has applied for review of ASIC's decision to cancel ...

Government to scrap advisers' approved qualifications list

KARREN VERGARA | MONDAY, 10 FEB 2025

... government will scrap the second stage of the adviser registration process. This stage mandated individual advisers to register annually with ASIC from 1 July 2026. The first stage required all relevant providers to be registered before providing personal ...

SMA registrations double in three years: Data

JAMIE WILLIAMSON | FRIDAY, 31 JAN 2025

The number of active separately managed accounts products in market has doubled in the past three years. That's according to APIR Systems' analysis of financial product registrations, with the December 2024 quarter data showing 25 new managed account ...

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Australian Unity to shed 195 roles

MATTHEW WAI

Australian Unity is reducing its workforce by 195 positions due to underperformance stemming from delays in government support for its Home Health platform and the integration of several businesses.

Count shutters limited-advice business, slips in size ranking

MATTHEW WAI

Count Financial has reportedly wound up its restricted SMSF/limited-advice service, losing some 26 advisers on the Financial Adviser Register, latest data shows.

First Super recruits head of investments from Prime Super

MATTHEW WAI

First Super has appointed a new head of investments, replacing Chris Artis, who was in the position for the past three months on an interim basis.

BMO eyes Euroz Hartleys' capital markets business

KARREN VERGARA

Euroz Hartleys confirmed it is in discussions with Canada's BMO Financial Group for a potential sale of its capital markets business for $145 million.

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