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Showing 141 - 150 of 211 results for "Stockbrokers"

Market Wrap - Morning

AAP  |  FRIDAY, 1 JUN 2012
... Australian Agricultural Company chief executive David Farley and ASIC chairman Greg Medcraft are due to address the Stockbrokers Association Conference in Melbourne. In Australia, the market on Thursday closed lower, dropping for a second straight day ...

Former Stonebridge broker banned for three years

RACHEL DAVIS  |  MONDAY, 12 MAR 2012
... client's account until 27 April 2010, contrary to the conditions of his employment. "This case demonstrates the need for stockbrokers, as gatekeepers to the financial markets, to maintain high standards," said Belinda Gibson, Deputy Chairman of ASIC. ...

Crowe Horwath eyes HNWI business

ELISE BURGESS  |  TUESDAY, 31 JAN 2012
... industry either through mergers or appointments. "Competition in the sector has become more intense as accountants, stockbrokers and super funds seek to enter the planning industry and could necessitate consolidation amongst the smaller practices to ...

FOFA heats up competition for planners

ELISE BURGESS  |  TUESDAY, 24 JAN 2012
... Financial planners may be squeezed out of the industry as competition heats up with the impending entry of accountants, stockbrokers and super funds, according to CoreData, with consolidation a likely outcome as smaller practices move to cut costs and ...

Research houses in regulatory spotlight

CLAIRE MCGREAL  |  WEDNESDAY, 16 NOV 2011
... associations representing other research report providers such as the Australian Financial Markets Association (AFMA) and Stockbrokers Association of Australia (SAA). In June, the Parliamentary Joint Committee on Corporations and Financial Services decided ...

ASIC investigations lead to charges, interim orders

CLAIRE MCGREAL  |  TUESDAY, 15 NOV 2011
... as an employee at his former workplace. Jonathan Kur, who was an authorised representative for Hogan and Partners Stockbrokers Pty Ltd, appeared in court last week, charged with 16 counts of fraud worth $8.8 million, and one charge of dishonestly using ...

Financial Planners want level playing field on commissions

ALISON BEVEGE  |  WEDNESDAY, 6 JUL 2011
Stockbrokers should be subject to the same rules on conflicted remuneration and commissions as the rest of the financial services industry and not seek special dispensation, financial planners have said. Stockbrokers have reportedly asked to be exempted ...

Dark pools attract larger trades and ASIC

ELISE BURGESS  |  THURSDAY, 2 JUN 2011
... model would allow for larger trade sizes to appeal to a wider range of participants. However, in an address at the Stockbrokers Association of Australia Conference on May 26, ASIC commissioner, Shane Tregillis, compared dark pools to a pulp fiction ...

Market Wrap - Morning

AAP  |  THURSDAY, 26 MAY 2011
... In economics news on Tuesday, Reserve Bank of Australian deputy governor Ric Battellino addresses the 2011 Annual Stockbrokers Conference, and the Australian Bureau of Statistics (ABS), issues data on new capital expenditure and expected expenditure ...

Platforms secure planners direct shares preference

ELISE BURGESS  |  TUESDAY, 10 MAY 2011
... per cent of planner respondents use investment platforms for direct equity trading, 42 per cent use full service stockbrokers for their share transactions and 37 per cent use an online broker. A remaining small use planning software or others means. ...