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Showing 2401 - 2410 of 6696 results for "Securities"

Advice associations under conflict of interest on professionalism: ASIC

LAURA MILLAN  |  TUESDAY, 23 SEP 2014
... professionalism in the financial advice industry, as associations have "an inevitable conflict of interest," the Australian Securities and Investments Commission has argued. "Industry associations have an inevitable conflict of interest between enforcing ...

Opposition wants to postpone vote on FoFA bill

LAURA MILLAN  |  TUESDAY, 23 SEP 2014
... that the FSI is expected to report later in the year, while both the financial services industry and the Australian Securities and Investments Commission (ASIC) remain "under intense scrutiny and pressure-from parliament, press, and the public-to demonstrate ...

BNP Paribas granted on-shore renminbi licence

MARK SMITH  |  TUESDAY, 23 SEP 2014
... management arm of BNP Paribas has been granted a RMB Qualified Foreign Institutional Investor (RQFII) license by the China Securities Regulatory Commission (CSRC). The license will enable BNP Paribas Investment Partners to provide its clients with access ...

ASIC bans former Synchron adviser

STAFF WRITER  |  TUESDAY, 23 SEP 2014
The Australian Securities and Investments Commission (ASIC) has banned a former Synchron financial adviser from providing financial services for five years for failing to provide Statements of Advice (SOAs). Michael Richard Irwin, a Rockhampton-based ...

Tight regulation getting in the way of digital advice: Minter Ellison

LAURA MILLAN  |  MONDAY, 22 SEP 2014
... clients due to tight regulation, and instead can only use simple tools, Minter Ellison said. "While [the Australian Securities and Investments Commission] ASIC has issued a class order in relation to calculators, the conditions mean that very few providers ...

BOQ reaches $17 million settlement with Storm victims

LAURA MILLAN  |  MONDAY, 22 SEP 2014
... all legal costs and additional provision for remediation costs, the bank announced in a statement to the Australian Securities Exchange (ASX). The settlement is subject to Federal Court approval and it concludes both the legal proceedings brought against ...

Citi appoints former ASIC deputy chair to board

JAMES FERNYHOUGH  |  FRIDAY, 19 SEP 2014
Citibank Australia has appointed new non-executive director, former deputy chair of the Australian Securities and Investments Commission (ASIC) Belinda Gibson. Gibson was with ASIC from 2007 to 2013, where she had primary responsibility for the regulation ...

ASX tees up $65m Yieldbroker deal

MARK SMITH  |  THURSDAY, 18 SEP 2014
... Yieldbroker specialises in operating licensed electronic markets for trading over 800 Australian and New Zealand debt securities and interest rate derivatives, including Australian government and semi-government bonds, treasury notes, corporate bonds ...

ASIC reviews FoFA progress

JAMES FERNYHOUGH  |  THURSDAY, 18 SEP 2014
... effect on either adviser numbers or the type of financial advice AFS licensees provide, according to the Australian Securities and Investments Commission (ASIC). In its review on the implementation of FoFA, ASIC also found little change in the ownership ...

Magellan sees "real tensions" in launching ASX-listed fund

LAURA MILLAN  |  WEDNESDAY, 17 SEP 2014
Magellan is considering launching a global open-ended fund listed to the Australian Securities Exchange (ASX), but chairman Brett Cairns has expressed concerns about the process. "There are some real tensions between those who manage money, and have ...