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Showing 311 - 320 of 6689 results for "securities"

ASX hunts new chief risk officer

MATTHEW WAI  |  TUESDAY, 24 SEP 2024
... officer following Hamish Treleaven announcing his intention to retire. Treleaven was appointed chief risk officer at the securities exchange in March 2017. Throughout his tenure, he was responsible for designing and implementing all aspects of the current ...

Global X hires new chief executive

KARREN VERGARA  |  MONDAY, 23 SEP 2024
... in 2022 right after Mirae Asset Financial Group acquired the firm for an undisclosed amount, which was known as ETF Securities back then. Before Global X, Metcalf worked at ANZ as a portfolio manager and spent time as an equity derivatives structurer ...

ASIC updates and reissues RG 121

ELIZA BAVIN  |  MONDAY, 23 SEP 2024
The Australian Securities and Investments Commission (ASIC) has reissued RG 121 to provide updated guidance to individuals and companies from outside Australia that wish to conduct a financial services business in Australia. The newest version replaces ...

Macquarie cops US$80m from SEC

KARREN VERGARA  |  FRIDAY, 20 SEP 2024
The US securities watchdog fined Macquarie Asset Management (MAM) US$80 million after a subsidiary fudged the valuations of collateralised mortgage obligations (CMOs) within a fixed income strategy. Macquarie Investment Management Business Trust (MIMBT) ...

Former industry fund chief in new role

ELIZABETH FRY  |  FRIDAY, 13 SEP 2024
... part of an investment group, including Shakespeare Property Group, which manages around $3 billion in equities, income securities, direct property and alternative assets.

Northern Trust expands fixed income trading capability

ANDREW MCKEAN  |  THURSDAY, 12 SEP 2024
... outsourced trading capability in the Asia Pacific (APAC) region. The expanded offering, provided through Northern Trust Securities in Australia, targets fixed income trading in the APAC time zones and bond universe. Northern Trust head of brokerage for ...

Lazard AM brings Japanese equities fund to Australia

MATTHEW WAI  |  THURSDAY, 12 SEP 2024
... that of the Tokyo Stock Price Index (TOPIX) Net Total Return Index by 3%-5% p.a. The fund has a portfolio of around 30 securities selected from about 3900 listed stocks. The number varies depending on the company's market cap, which currently sits at ...

Elanor shakes up leadership, sells down fund

KARREN VERGARA  |  TUESDAY, 10 SEP 2024
... chief executive of Moss Capital prior to its ASX listing as Elanor in July 2014. Before Elanor, he co-founded Grange Securities and led it as managing director and chief executive. Non-executive director Tony Fehon is now the interim managing director ...

Melbourne adviser sentenced to 18 months' prison

ELIZA BAVIN  |  FRIDAY, 6 SEP 2024
... "moral culpability was high." ASIC was successful in winding up of Ostrava Equities, Ostrava Asset Management, Ostrava Securities, Ostrava Wealth Management, Beta Pharmacology, Prometheus Capital, Thrive Lending, Trade BTC and Equity Capital Partners ...

ASIC cancels AFSL of foreign exchange contracts issuer

ELIZA BAVIN  |  THURSDAY, 5 SEP 2024
The Australian Securities and Investments Commission (ASIC) has cancelled the Australian financial services licence (AFLS) of contracts for difference (CFDs) and foreign exchange contracts issuer, FXOpen AU. ASIC said the decision to cancel the licence ...