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Showing 161 - 170 of 458 results for "Spectrum"

New private trades platform for family offices

KANIKA SOOD  |  WEDNESDAY, 10 JUN 2020
... playing field for family offices by giving them unique access to appealing investment opportunities across the entire spectrum of private assets," ShareNett chief executive and chair Clifford H. Friedman said. "ShareNett has developed a robust institutional ...

New role for AMP Capital ESG head

ELIZABETH MCARTHUR  |  FRIDAY, 5 JUN 2020
... an agent of change in the sector. "There are few specialists with Ian's far reaching coverage of the asset class spectrum, in the context of responsible investment," Sullivan said. "His global expertise and regional knowledge will be hugely valuable ...

FASEA boycott sparks in-fighting

ELIZABETH MCARTHUR  |  TUESDAY, 2 JUN 2020
... is no longer working with the UFAA. Schroeder was director, chief executive, responsible manager and a key person for Spectrum - once home to close to 100 advisers. ASIC surveillance identified serious concerns about the licensee's compliance with ...

Adviser banned for five years

ELIZA BAVIN  |  TUESDAY, 26 MAY 2020
... ban follows ASIC surveillance of advice provided by NSW-based Sean Lewis while he was an authorised representative of Spectrum Wealth Advisers. ASIC found that Lewis failed to comply with financial services laws, including failure to provide advice that ...

Client drags advice firm, advisers to court

KANIKA SOOD  |  WEDNESDAY, 20 MAY 2020
... 8888 Group provided accounting, wealth advice and financial planning to her between 2013 and 2015. Despite shuttering, Spectrum Wealth is still listed as the firm's licensee on its website, however the ASIC Financial Adviser Register shows Robert ...

Investment manager launches income fund

ALLY SELBY  |  TUESDAY, 12 MAY 2020
... Corporation has a leading and award winning investment platform that originates and manages investments across the full credit spectrum including corporate bonds, bank loans, private direct lending and asset-backed finance, as well as other alternative ...

Global asset manager appoints local insto lead

HARRISON WORLEY  |  TUESDAY, 5 MAY 2020
... and growing our presence in Australia and New Zealand, as we continue to provide institutional investors with a broad spectrum of global investment capabilities and ESG embedded solutions to help them navigate the challenging markets and invest for a ...

Former Spectrum Wealth, NAB advisers banned

ELIZA BAVIN  |  THURSDAY, 30 APR 2020
... from NSW for three years for failing to consider clients' best interests. Jane Myers, an authorised representative of Spectrum Wealth between 2013 and 2017, has been banned by the regulator following surveillance. ASIC said Myers claimed she was only ...

500 advisers exit during COVID-19

ELIZABETH MCARTHUR  |  THURSDAY, 23 APR 2020
... Charter Financial and National Australia Bank lost 19 advisers each. Consilium, which had picked up a number of Dover and Spectrum advisers after the shuttering of those AFSLs following regulatory action, lost seven advisers. It is now down to 39 from ...

Former ASIC lawyer joins private firm

ELIZA BAVIN  |  MONDAY, 20 APR 2020
... financial services lawyer with experience on both the contentious and non-contentious sides of the financial regulation spectrum," the law firm said. "Having run large-scale and complex enforcement investigations for ASIC and, more recently, acted on ...