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Showing 331 - 340 of 1208 results for "Retail investors"

ASIC to curb huge CFD losses

KARREN VERGARA  |  FRIDAY, 23 OCT 2020
The corporate regulator is stepping in to prevent retail investors losing millions of dollars from trading highly risky contract for difference (CFDs) instruments. ASIC has imposed a product intervention order on the issue and distribution of CFDs effective ...

Derivatives issuer cops $75m penalty

ELIZA BAVIN  |  MONDAY, 19 OCT 2020
... Ozifin had engaged in "systemic unconscionable conduct" while providing over-the-counter derivative products to retail investors in Australia. The justice noted that derivatives are complex instruments and risky investments and as a result of the contravening ...

Evans Dixon to rebrand

KARREN VERGARA  |  MONDAY, 12 OCT 2020
... engaged in 126 breaches of best interests obligations relating to personal financial product advice it provided retail investors to invest in URF.

Adelaide fund manager adds to board

KANIKA SOOD  |  TUESDAY, 6 OCT 2020
... Kellie can offer as both a qualified lawyer and experienced economist." Angas manages $150 million in assets for retail investors, via mortgage trusts whose funds are deployed in short-term commercial property loans secured by a registered first mort ...

Microcap manipulators caught out

ANNABELLE DICKSON  |  THURSDAY, 24 SEP 2020
... frozen by the Securities and Exchange Commission after procuring US$9 million in illegal profits by defrauding retail investors. The SEC alleged in a complaint that between 2013 and 2017 Ongkaruck Sripetch, Amanda Flores, Brehnen Knight and with the ...

Women receive worse advice: Study

KARREN VERGARA  |  THURSDAY, 10 SEP 2020
... and women to pose as potential clients of 65 Hong Kong securities firms and financial planners that cater to retail investors. They found a male client was offered undiversified advice 13.5% of the time, while a female client was more than twice as likely ...

Investors will be forced into equities: DeepData Analytics

ELIZA BAVIN  |  TUESDAY, 1 SEP 2020
Retail investors will be forced further into investing in equities as the hunt for yield continues, despite having felt the hard lessons from this year's market volatility, according to founder and chief executive of DeepData Analytics Mathan Somasundaram. ...

Robinhood effect steers share market

KARREN VERGARA  |  MONDAY, 31 AUG 2020
... using early access to superannuation to bet on the share market. ASIC raised concerns about the influx of new retail investors trying their hand at trading in the thick of the pandemic. Between February and May, ASIC calculated an average of 4675 new ...

Advisers more bearish than clients

JAMIE WILLIAMSON  |  FRIDAY, 28 AUG 2020
This year is the first time financial advisers have been less optimistic than retail investors, with advisers only anticipating capital gains of 1.3% over the next 12 months from local shares. That's according to the latest data from Investment Trends ...

Evans & Partners explore open-ended funds

ELIZA BAVIN  |  TUESDAY, 25 AUG 2020
... liquidity and efficiency," Evans said. "Historically, listed investment trusts have been an effective structure for retail investors to access equity strategies due to the ease of execution of trading units on the ASX. "The RE has maintained active capital ...