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Showing 191 - 200 of 211 results for "Stockbrokers"

Life insurers and 25 AFSL holders under ASIC microscope

... general insurance and superannuation sectors, 35 from deposit taking institutions, 33 from life insurers and 37 from stockbrokers. The most common reasons given were related to disclosure obligations, incorrect fees and charges, statements of advice ...

Margin lenders bank on reputation not just rates

... about $18 billion now so that's pretty solid growth and a lot of that's been driven by both financial planners and stockbrokers doing more in this space," said Stephen Robertson, head of Macquarie's margin lending division. According to Investment Trends ...

FPA and ASIC warn consumers to defend against fraudsters

... Australians have lost at least $400 million to cold calling frauds whereby unlicensed overseas organisations pretend to be stockbrokers and investment houses. "Informed consumers are the best defence against the increasing number of scammers targeting ...

S&P gives local LIC thumbs down

... shares are a better alternative for the retail investor to gain exposure, and these can easily be bought through local stockbrokers." GMF is a listed investment company (LIC) with a similar structure to an ordinary company and trades as shares. LICs ...

SDIA launches stockbroker accreditation course

Retail and institutional stockbrokers will now be able to receive a specifically designed professional qualification through a course being offered by The Securities & Derivatives Association (SDIA). The SDIA will be offered in conjunction with the ...

Beware of fake international 'regulators'

... and addresses in order to deliver their messages. The fake regulators operate in conjunction with overseas-based stockbrokers and issue endorsements in order to convince investors to buy worthless shares. The sham regulators of which ASIC is currently ...

Aurora teams up with agricultural manager Environinvest

... has a longer term of 10 to 12 years. Aurora seeks to market the schemes through financial planners, accountants and stockbrokers.

Mariner Wealth selects Dignum as chief operating officer

... and administration positions, and has advised front, middle and back office functions for investment managers and stockbrokers. His experience extends across companies of various sizes, for boutique firms to large multinational organisations. Treasury ...

More confidence in financial planners

... shadow shopper survey 18 months ago. The survey included interviews with the public, financial analysts, advisers, and stockbrokers. Views of 200 chief executives, chief financial officers, directors and internal and external auditors from CPA Australia's ...

ASIC rules out exemptions to Statements of Advice

... it is working with ASIC towards achieving its aim of having financial planners put on a 'level playing field' with stockbrokers. "Stockbrokers are regulated by the ASX under different legislation and have a conditional exemption from the need to provide ...