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Showing 2321 - 2330 of 6696 results for "Securities"

Market Wrap PM

AAP  |  TUESDAY, 18 NOV 2014
The Australian stock market has opened higher following a flat lead from the US. Patersons Securities economist Tony Farnham said there was little in the way of economic or company news to drive the market at present. "We're really looking for things ...

Van Eyk collapse brings down AWI chairman

LAURA MILLAN  |  TUESDAY, 18 NOV 2014
... replacement to be voted on at AWI's annual general meeting (AGM) in November. According to AWI, the board has asked iPac Securities executive director of media and industry commentator Paul Clitheroe to stand for election. His appointment as chair will ...

Increased record keeping provisions for advisers

LAURA MILLAN  |  TUESDAY, 18 NOV 2014
... consultant Sonia Cruz said that the new Future of Financial Advice (FoFA) requirements make it clear that the Australian Securities and Investments Commission (ASIC) believes good record keeping systems support the ongoing provision of quality advice ...

Prosecution drops charges against Storm adviser

LAURA MILLAN  |  MONDAY, 17 NOV 2014
... death of an elderly prosecution witness whose evidence was considered to be vital in proving its case. The Australian Securities and Investments Commission (ASIC) informed that the witness' death forced a reassessment of the evidence and that "other ...

Advisers confirm SMSF appetite for LICs

STAFF WRITER  |  MONDAY, 17 NOV 2014
... is one of the main drivers behind the resurgence of LICs. The capacity to buy directly and trade on the Australian Securities Exchange (ASX) was equally seen as a major driver (57%) and 37% attributed it to a greater understanding of the benefits of ...

Unlicensed Torquay adviser gets 7 year ban

LAURA MILLAN  |  MONDAY, 17 NOV 2014
... Capital Scott Logan has been banned for providing financial services for seven years. An investigation by the Australian Securities and Investments Commission (ASIC) found that between April 2011 and June 2013 the company trading as Coast Capital traded ...

ASIC to watch CBA advisers closely

LAURA MILLAN  |  FRIDAY, 14 NOV 2014
The Australian Securities and Investments Commission (ASIC) has appointed a compliance expert to examine the performance of advisers at Commonwealth Financial Planning and Financial Wisdom. KordaMentha Forensic will review past activities by Commonwealth ...

ASIC intervenes non-compliant Aurora listed funds

LAURA MILLAN  |  FRIDAY, 14 NOV 2014
Aurora Funds Management has entered into an enforceable undertaking (EU) with the Australian Securities and Investments Commission (ASIC) after the regulator identified compliance failings in some of its listed investment schemes. ASIC is concerned ...

Liam Shorte named FS Smileys Scholar of the Year

ALICE URIBE  |  FRIDAY, 14 NOV 2014
... Shorte, director & financial planner, Verante Financial Planning @SMSFCoach Darren Wright, financial adviser, Prescott Securities @DarrenWrightPSL Paul Wright, managing director, ODH Financial Planning @PaulWrightodhfp

Market wrap

AAP  |  WEDNESDAY, 12 NOV 2014
... session but it was concern about iron ore falling below $US75 a tonne which hit BHP Billiton and Rio Tinto, Patersons Securities economist Tony Farnham said. "There's been a little bit more selling," he said. "People are starting to look ahead to the ...