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Showing 211 - 220 of 6714 results for "Securities"

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 ...

KKR, Capital Group debut first public-private investment products

ANDREW MCKEAN  |  WEDNESDAY, 30 APR 2025
... According to product disclosure documents, the Capital Group KKR Core+ fund invests in a range of public market debt securities, including US and other government securities, corporate bonds, mortgage-related securities, and cash. The fund's private ...

BNP Paribas names chief for Australia, NZ

KARREN VERGARA  |  WEDNESDAY, 30 APR 2025
... Zealand, replacing Karine Delvallée. In his new role, Parrot leads a team that delivers global markets and banking, and securities services solutions and asset management offerings to corporate and institutional clients. Parrot has been with BNP Paribas ...

MFS expands Australian offering with contrarian strategy

ELIZA BAVIN  |  TUESDAY, 29 APR 2025
... business model or bad news not reflected in the fundamentals. MFS said the strategy generally selects between 30 and 60 securities that are sector and region agnostic and benchmark unconstrained. "Each security is screened for value and critically, for ...

Local challenger enters Australia's ETF market

ANDREW MCKEAN  |  MONDAY, 28 APR 2025
... supporting the management of Victoria, South Australia, Tasmania, and Western Australia. They first worked together at ETF Securities and remained with the business after its acquisition by Mirae Asset Global Investments, the family office of Korean ...

ASX launches review into shareholder approvals

ELIZA BAVIN  |  MONDAY, 28 APR 2025
The Australian Securities Exchange (ASX) has launched a review into listing rules related to shareholder approval requirements, particularly when it comes to mergers and acquisitions. The ASX said due to "heightened investor interest" around the James ...