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Showing 2481 - 2490 of 6696 results for "Securities"

Macquarie tight-lipped on EU details

LAURA MILLAN  |  FRIDAY, 25 JUL 2014
Macquarie Group said that the Macquarie Private Wealth enforceable undertaking (EU) with the Australian Securities and Investments Commission (ASIC) is "on track," but refused to give more details about the process. An investor presentation made public ...

OneVue lists on ASX

MARK SMITH  |  FRIDAY, 25 JUL 2014
Managed account provider OneVue has been officially listed on the Australian Securities Exchange (ASX). Shares began trading at 11.30 this morning and were priced at $0.32 at the time of publishing. OneVue has been preparing for its initial public offering ...

Regulators relaxed about social media: IOSCO

STAFF WRITER  |  FRIDAY, 25 JUL 2014
The International Organsation of Securities Commissions (IOSCO) has just released research into how regulators around the world are permitting the use of social media as part of the advice channel. The survey was conducted during 2013 and focused heavily ...

S&P, ABN Amro appeals rejected in landmark ruling

MARK SMITH  |  THURSDAY, 24 JUL 2014
... has in effect extended the avenues of recourse available under the Corporations Act to investors in a wide range of securities in Australia. "This is a great win, not only for the 12 Councils but for investors generally, that should once and for all ...

ASIC obtains court orders against former Ballast adviser

LAURA MILLAN  |  THURSDAY, 24 JUL 2014
... Management authorised representative from providing financial advice and dealing in financial products. The Australian Securities and Investments Commission (ASIC) obtained the orders against Western Australia-based financial adviser Marion Joan Pearson ...

CBA whistleblower casts doubts over compensation scheme

LAURA MILLAN  |  THURSDAY, 24 JUL 2014
... their fault or that there was bad luck because there was the GFC." Morris argued that "neither CBA nor [the Australian Securities and Investments Commission] ASIC should be involved in compensation," given concerns expressed by the Senate Economics Committee ...

ASX200 companies 'poor' on gender diversity disclosure

LAURA MILLAN  |  WEDNESDAY, 23 JUL 2014
... on information revealed in response to gender diversity disclosure and policy principles required by the Australian Securities Exchange (ASX) in its Corporate Governance Principles.

Investors vulnerable as property schemes shirk risk disclosure

JAMES FERNYHOUGH  |  WEDNESDAY, 23 JUL 2014
... managers who fail to adequately disclose risks are placing investors in a vulnerable position according to the Australian Securities and Investments Commission (ASIC). ASIC commissioner Greg Tanzer said a review into the sector's disclosure was 'disappointing'. ...

Former Macquarie exec resurfaces at BT

JAMES FERNYHOUGH  |  WEDNESDAY, 23 JUL 2014
... wealth funds and insurance companies. Prior to taking a sabbatical in May last year, Mouat was at Macquarie Capital Securities for 20 years, holding the position of senior managing director of the India division for the last four of those. Clayton said ...

RBS enters enforceable undertaking

STAFF WRITER  |  TUESDAY, 22 JUL 2014
... undertaking in relation to "potential misconduct" involving the Australian Bank Bill Swap Rate (BBSW), the Australian Securities and Investments Commission (ASIC) has announced. RBS will also voluntarily donate $1.6 million to fund independent financial ...