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Showing 181 - 190 of 6689 results for "Securities"

SMC highlights long-term benefits of investing in private markets

MATTHEW WAI  |  THURSDAY, 15 MAY 2025
Super Members Council (SMC) has submitted a paper in response to the Australian Securities and Investments Commission's (ASIC) discussion paper, outlining how superannuation investments in the private sector can drive long-term financial system stability ...

Macquarie raked over the coals again by ASIC

ANDREW MCKEAN  |  WEDNESDAY, 14 MAY 2025
Macquarie Securities, the broking arm of Macquarie Group, has been sued by ASIC for allegedly engaging in repeated and systemic misleading conduct in its short sale reporting to the market operator, supposedly misreporting millions of trades over 14 ...

ASX outlines opportunities in listed markets amid IPO slump

MATTHEW WAI  |  FRIDAY, 9 MAY 2025
In response to a discussion paper published by the Australian Securities and Investments Commission (ASIC) in February, the Australian Securities Exchange (ASX) has outlined several opportunities to spike "global competitiveness" of Australia's ...

Sequoia appoints licensee, adviser services lead

ELIZA BAVIN  |  WEDNESDAY, 7 MAY 2025
... Sequoia in February. AWAG, which is also ASX-listed, now has an 18.02% stake in Sequoia across more than 22.37 million securities. AWAG took the stake after Unrandom director - and former Sequoia head of professional services - Brent Jones ceased to ...

Ellerston Capital awards distribution mandate

JAMIE WILLIAMSON  |  TUESDAY, 6 MAY 2025
... primarily invests in Australian government, semi-government and corporate bonds, related derivatives and cash and cash like securities. The Ellerston JAADE Australian Private Assets Fund (Wholesale) takes minority interests in later stage, Australian ...

ASIC cancels licence of Brite Advisors

ANDREW MCKEAN  |  MONDAY, 5 MAY 2025
... entities in the US, UK, and Hong Kong, all of which are now subject to regulatory action or insolvency. In the US, the Securities and Exchange Commission charged Brite Advisors USA with custody rule breaches and fiduciary failures for directing client ...

ASIC bans unlicensed WA adviser

ELIZA BAVIN  |  FRIDAY, 2 MAY 2025
The Australia Securities and Investments Commission (ASIC) has made an order to permanently ban former Western Australia based financial adviser Neville Kendrick. Kendrick has been banned from providing any financial services, performing any function ...

ASX admits CHESS tech staff 'stretched'

ELIZA BAVIN  |  THURSDAY, 1 MAY 2025
... several key findings from the review, which has been submitted to the Reserve Bank of Australia (RBA) and the Australian Securities and Investment Commission (ASIC). The review found that while there are sufficient resources to support the ongoing maintenance ...

AUSIEX to acquire FIIG Securities

ELIZA BAVIN  |  THURSDAY, 1 MAY 2025
Wholesale trading platform AUSIEX will acquire fixed income trading business FIIG Securities by the end of June 2025. The acquisition price has not been disclosed, but Financial Standard understands it has been described as "fair value". Financial Standard ...

Finfluencer failed to disclose paid promotions, says regulator

JAMIE WILLIAMSON  |  WEDNESDAY, 30 APR 2025
... was busted for failing to disclose sponsorship of content and engaging in investor relations activities. The Alberta Securities Commission (ASC) found James Floreani, who runs Jayconomics, breached the local Securities Act when he engaged in investor ...