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Showing 11 - 20 of 170 results for "Wholesale clients"

ASIC imposes licence conditions on Cambridge Mercantile

ANGELIQUE MINAS  |  THURSDAY, 12 FEB 2026
... business. The Corpay subsidiary misclassified over 2800 retail clients in structured foreign exchange derivatives as wholesale clients. It also failed to maintain adequate systems, record keeping and monitoring procedures for the classification of its ...

Vinva snaps up ECP executive

ELIZABETH FRY  |  THURSDAY, 15 JAN 2026
... almost two decades of institutional distribution firepower Teh will work with Vinva's institutional and wholesale clients, adding firepower to a business that has grown to around $45 billion in assets under management since its 2010 launch. She joins ...

FX coaching platform handed additional conditions over compliance failures

MATTHEW WAI  |  WEDNESDAY, 26 NOV 2025
... provide financial product advice about derivatives, foreign exchange contracts and securities to retail and wholesale clients. It was founded by the UK-based entrepreneur Greg Secker in 2003; he is currently the founder of Greg Secker Foundation, and ...

Revolution AM appoints distribution lead to drive expansion

RIDDHIMA TALWANI  |  TUESDAY, 25 NOV 2025
... the reach of its suite of private credit strategies, as they attract unprecedented interest from retail and wholesale clients. Price brings 20 years of senior leadership experience across funds management and retirement income. In these roles he was ...

MST Financial acquires FIIG Securities' unit, boosts assets

KARREN VERGARA  |  FRIDAY, 14 NOV 2025
... AUSIEX chief executive Patrick Salis told Financial Standard that the core FIIG business of providing bonds to wholesale clients is performing well. "The FIIG staff have fully integrated into AUSIEX offices located in Brisbane, Sydney and Melbourne and ...

Crown Wealth director banned for two years

KARREN VERGARA  |  THURSDAY, 30 OCT 2025
... after it was placed into voluntary administration. It was previously allowed to provide advice to retail and wholesale clients regarding superannuation, securities, deposit and payment products, interests in managed investment schemes and life products ...

Morningstar DBRS expands into regional Australia

ANGELIQUE MINAS  |  WEDNESDAY, 29 OCT 2025
... granted Morningstar an AFSL in October, enabling the firm to continue issuing credit ratings for consideration by wholesale clients exclusive to Australia. The licence will enable Morningstar to operate within the region and advance ratings coverage ...

L1 Group replaces chief, seeks $330m

KARREN VERGARA  |  WEDNESDAY, 29 OCT 2025
... equity raising will be co-invested into a strategy that was launched in January, which was recently offered to wholesale clients for the first time through a Cayman-domiciled fund. Already, some $190 million of pre-commitments have been received for ...

ASIC cancels CPG Research & Advisory's AFSL

RIDDHIMA TALWANI  |  FRIDAY, 10 OCT 2025
... which were outstanding for over 12 months. CPG held the AFSL since 28 January 2004 and has serviced over 50 wholesale clients in Australia and overseas, including wholesale institutional investors, fund managers, family offices, and high-net-worth investors ...

CFS, Wellington Management team up on new fund

ELIZA BAVIN  |  MONDAY, 8 SEP 2025
... marketing," Hollebone said. "Wellington has continued to expand its local presence to better meet the needs of wholesale clients and investors in Australia since 1997."