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Showing 141 - 150 of 170 results for "Wholesale clients"

ASIC accepts EU from forex broker over prohibited IMA

STAFF WRITER  |  TUESDAY, 25 FEB 2014
... concerned that Forex FS had received advice which resulted in it incorrectly classifying its IMA clients as wholesale clients as opposed to retail clients. Commissioner Greg Tanzer said:A "An MDA service allows a broker to enter and exit trades on behalf ...

CFSGAM wins VicSuper infra mandate

JAMES FERNYHOUGH  |  WEDNESDAY, 22 JAN 2014
... significant risk," he said. CFSGAM manages over A$4 billion in listed infrastructure on behalf of institutional and wholesale clients worldwide.

Former Hyperion boss Dr Manny Pohl launches mid cap fund

MARK SMITH  |  TUESDAY, 9 JUL 2013
... Flagship Investments, an ASX listed investment company he launched in 1998, as well as portfolios for a number of wholesale clients.

ASIC updates MIS guidance

LAURA MILLAN  |  THURSDAY, 6 JUN 2013
... scheme and the powers and rights of the responsible entity. It also refers to complaints by retail clients and wholesale clients, the withdrawal rights of members of the scheme, how to wind up the scheme and the legal enforceability of the constitution. ...

GSAM builds third party distribution team

STAFF WRITER  |  THURSDAY, 9 MAY 2013
... He has 10 years' experience in the financial services sector having previously worked with institutional and wholesale clients across a broad range of assets classes and regions. Most recently Ben was an Investment Specialist for RARE Infrastructure ...

Pengana AEq fund reaches $227m FUM

LAURA MILLAN  |  WEDNESDAY, 17 APR 2013
... generated 8% and the RBA Cash Rate, which returned 0.7% during the same quarter. The fund, directed at retail and wholesale clients, holds a concentrated portfolio of principally listed Australian equities with its top five holdings being DUET, ANZ Bank ...

Wealthy clients need consumer protections too: FPSB

ALEX DUNNIN  |  WEDNESDAY, 6 JUN 2012
Regulators should be wary of simplistic distinctions between retail and wholesale clients, warns the global interest group the Financial Planning Standards Board. The Financial Planning Standards Board (FPSB) is the owner of the Certified Financial ...

UBS expands wholesale team

BEN COLLINS  |  WEDNESDAY, 23 MAY 2012
... team with the appointments of James Tomkins and Alistair Dunne as national sales managers. Working closely with wholesale clients and advisers, Dunne will be responsible for clients in Victoria and South Australia while Tomkins will have responsibility ...

Franklin Templeton launches Australian equity fund

RACHEL DAVIS  |  MONDAY, 7 NOV 2011
... Equity Management in 1988, initially focused on investing solely in Australia's 50 largest companies on behalf of wholesale clients. In 2003, the firm expanded its investment universe to include Australia's 100 largest companies. Since its inception ...

Brookes departs as CCSL chief

MATT WOODINGTON  |  WEDNESDAY, 31 AUG 2011
... transitional period. Diversa provides superannuation, risk and investment management products and services to wholesale clients including super funds, financial advisers, accountants and fund managers. The acquisition of CCSL was announced in December ...