Newspaper icon
The latest issue of Financial Standard now available as an e-newspaper
READ NOW

Search Results

Showing 11 - 20 of 99 results for "Macquarie Equities"

Macquarie pays the price for poor advice

JAMIE WILLIAMSON  |  FRIDAY, 9 JUN 2017
Macquarie Equities has shelled out almost $25 million in compensation in the past three years as part of its enforceable undertaking with ASIC. The corporate regulator published an update yesterday as to the remediation program's status, saying it is ...

Former adviser cops ASIC reprimand

JAMIE WILLIAMSON  |  FRIDAY, 24 MAR 2017
A former Macquarie Equities Limited adviser agreed to not provide financial services for four years as part of an enforceable undertaking by ASIC. The regulator determined that Anthony Wilson had failed to comply with financial services laws between ...

AAT upholds adviser appeal against ASIC

EMMA RAPAPORT  |  TUESDAY, 24 JAN 2017
The Administrative Appeals Tribunal upheld an appeal by Tony Davidof, a former Macquarie Equities accredited derivatives adviser, against the Australian Securities and Investments Commission. In 2015, ASIC banned Davidof from providing financial services ...

Hong Kong fintech makes senior Australia hire

ALEX BURKE  |  WEDNESDAY, 2 NOV 2016
... firm. Prior to that, he was an executive director at Instreet Investment, Merrill Lynch, ANZ, BZW Australia and Macquarie Equities. His appointment occurs at the same time Quantifeed has appointed Audrey Wong as both chief operating officer and chief ...

ASIC bans former Macquarie advisers

JAMIE WILLIAMSON  |  THURSDAY, 25 AUG 2016
... private client adviser, and strategic financial planner Gardner were both employed in the Brisbane office of Macquarie Equities. The ASIC investigation also found that Sourris advised eight clients between September 2011 and November 2012 to open options ...

ASIC bans ex-Macquarie Equities trader

ALEX BURKE  |  WEDNESDAY, 17 AUG 2016
ASIC has banned a former representative of Macquarie Equities for five years. Nicholas Kerr worked for Macquarie Equities from 2008 to 2013; during that time, ASIC alleged he engaged in unauthorised discretionary trading on five client accounts, as ...

Shaw and Partners appoints senior adviser

ALEX BURKE  |  MONDAY, 4 APR 2016
... These include head of finance Geoff Carrick, appointed from CBA Institutional Equities having spent 15 years at Macquarie Equities prior to that, and three senior advisers in February. At the time, Evans said: "During the past 12 months we have been ...

Shaw and Partners appoints three senior advisers

ALEX BURKE  |  TUESDAY, 23 FEB 2016
... Macquarie veterans. Alasdair Burns and Greg Sadler have joined Shaw and Partners from Macquarie Private Wealth and Macquarie Equities respectively; both had been working at Macquarie for over 15 years each prior to making the move. Burns and Sadler will ...

ASIC bans former Macquarie planner

ALEX BURKE  |  TUESDAY, 19 JAN 2016
ASIC has given a former Macquarie Equities employee a three-year ban. Ben Rickman was found by the regulator "not to be adequately trained or competent to provide financial services," having done so as a Macquarie Equities representative from 2012 to ...

ASIC bans former Macquarie adviser for market manipulation

ALEX BURKE  |  FRIDAY, 18 DEC 2015
ASIC has banned a former Macquarie Equities accredited derivatives adviser for market manipulation. Working with a former Credit Suisse employee, Tony Davidof manipulated the price of MINI derivatives via sequential buy and sell trades after both pre-arranging ...