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Showing 361 - 370 of 6690 results for "securities"

Ausbil reshuffles distribution team

ELIZABETH FRY  |  FRIDAY, 5 JUL 2024
... for various institutional stockbrokers. During his career he worked for Salomon Brothers, Creditanstalt, Schroders Securities and Citigroup. "Hik has done a great job for our clients in Queensland and has directed the wholesale business development team ...

Federation AM invests in Astris Advisory

KARREN VERGARA  |  WEDNESDAY, 3 JUL 2024
... realised investments since 2011. Shirt has lived in Japan for about 20 years, working for the likes of such as JP Morgan Securities, Jefferies, and Macquarie Capital Securities Japan. Brownjohn said: "Federation's investment in Astris follows a long ...

ASIC takes action against Guildfords FM, director

KARREN VERGARA  |  FRIDAY, 28 JUN 2024
... which had an AFS Licence (AFSL) to provide advisory and dealing services with respect to managed investment schemes and securities, as well as custodial and depository services to wholesale clients. It also provided trustee services to unregistered managed ...

ASIC freezes assets of Melbourne based licensee

ELIZA BAVIN  |  THURSDAY, 27 JUN 2024
The Australian Securities and Investments Commission (ASIC) has obtained interim orders from the Federal Court freezing the assets of financial advice licensee United Global Capital and related property investment company Global Capital Property Fund ...

Coller Capital hires former J.P. MAM executive

KARREN VERGARA  |  WEDNESDAY, 26 JUN 2024
... He previously worked in executive roles at Schroders as head of retail sales, as well as AMP Capital, IOOF and TIR Securities. Hallifax most recently was the head of Australia and New Zealand at S64, a global private markets platform. Hallifax will report ...

Citi Australia appoints debt capital markets lead

KARREN VERGARA  |  MONDAY, 24 JUN 2024
... head of cross border capital markets in New York, Bailey is responsible for the origination and execution of US dollar securities for global borrowers and some US domestic clients. He has been with Citi for more than 20 years. Bailey replaces Ollie Williams ...

Former AMP advice lead sues The Australian

ELIZA BAVIN  |  MONDAY, 24 JUN 2024
... against The Australian claiming an article published by the news outlet inferred he misled the Australian Investments and Securities Commission (ASIC). Regan claimed the article, which was published back in January this year, falsely implied he had misled ...

Betashares promotes key sales execs

ELIZABETH FRY  |  FRIDAY, 21 JUN 2024
... day-to-day management of the adviser, broking, and wealth management channels. He joined eight years ago from Bell Potter Securities, where he advised on investment strategy, portfolio construction and asset selection for individual and superannuation ...

Ascot Securities hit with infringement notice for 'serious failures'

ANDREW MCKEAN  |  THURSDAY, 20 JUN 2024
Ascot Securities was issued an infringement notice by the Markets Disciplinary Panel (MDP) in November last year for serious failures, resulting in a $3.1 million penalty and a requirement to enter an enforceable undertaking. However, Ascot chose not ...

Court freezes assets of Keystone AM managed fund

ELIZA BAVIN  |  THURSDAY, 20 JUN 2024
The Australian Securities and Investments Commission (ASIC) has obtained interim orders from the Federal Court to freeze the assets of the Shield Master Fund (Shield), a registered managed fund overseen by Keystone Asset Management. ASIC said it sought ...