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Showing 1491 - 1500 of 6696 results for "Securities"

Westpac obscured bad adviser reference check

KARREN VERGARA  |  FRIDAY, 20 APR 2018
... warnings until he left in 2015. One incident included Smith advising 20 of his clients to invest in the same NAB hybrid securities on the same day. BT Financial Advice general manager Michael Wright told Senior Counsel Assisting Rowena Orr that recommending ...

US regulator to extend fiduciary rule

JAMIE WILLIAMSON  |  FRIDAY, 20 APR 2018
... advice and mitigate confusion around the differing standards to which different industry professionals are held. The Securities and Exchange Commission is proposing to enhance the quality and transparency of investors' relationships with investment advisers ...

ASIC hits former NAB adviser with permanent ban

ALEX BURKE  |  WEDNESDAY, 18 APR 2018
... NAB-owned GWM Adviser Services, from 2003 to 2013. During that time, he advised on superannuation, managed funds and securities. ASIC said that between 2007 and 2016, Taylor withdrew $1,951,000 mostly from private client funds which were marked for specific ...

CFSGAM prepares IPO, names board candidates

DARREN SNYDER  |  TUESDAY, 17 APR 2018
... Colonial First State Global Asset Management will work towards an initial public offering and listing on the Australian Securities Exchange following a strategic review from its parent bank. Commonwealth Bank announced this afternoon it had completed ...

Fintech launches active trading platform with no monthly fees

KANIKA SOOD  |  TUESDAY, 17 APR 2018
... other asset classes on compatible multi-screen Windows and Mac computers. Traders will be charged on the volume of securities that they trade, with prices getting more attractive as the activity increases. The platform lets them customise their workscreens ...

FIIG Securities goes global, appoints chief executive

JAMIE WILLIAMSON  |  THURSDAY, 5 APR 2018
Fixed income specialist FIIG Securities established its first offshore subsidiary in Europe, promoting a senior executive to lead the new business. Based in Malta, FIIG International provides the FIIG Group with an ability to operate in all 28 member ...

Blue Sky hits back at hedge fund, requests ASIC intervention

ALEX BURKE  |  WEDNESDAY, 4 APR 2018
... release of Glaucus' statement, Kain said the opinion piece "had the potential to create a false market in Blue Sky's securities." Kain added Blue Sky securities may have been traded in a false market on March 28, which would be in breach of ASX listing ...

Kapstream creates new fund

DARREN SNYDER  |  MONDAY, 26 MAR 2018
... with our long-established low-risk strategy, yet with a greater bias to higher yielding and/or slightly less liquid securities, recognising that some investors are willing to accept incrementally higher volatility and illiquidity in exchange for higher ...

New income trust plans to raise $350m

KANIKA SOOD  |  THURSDAY, 22 MAR 2018
Gryphon Capital Investments wants non-institutional investors to place money in secured debt securities with its new trust - which it says is the first of its kind in Australia. Gryphon Capital Income Trust (GCIT) will invest in residential mortgage ...

MyRetirement products too pricey for super funds

JAMIE WILLIAMSON  |  MONDAY, 19 MAR 2018
... eventually force funds into innovation around designing and offering retirement income solutions to members, but iPac Securities chief investment officer Jeff Rogers disagrees. Acknowledging it is difficult to design default retirement products, Rogers ...