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Showing 21 - 30 of 426 results for "stockbroking"

Alpine Capital launches in Melbourne

CHLOE WALKER  |  FRIDAY, 20 OCT 2023
Newly formed RE Capital Advisory has teamed up with stockbroking giant Wentworth Securities (Wentworth) to launch Alpine Capital, an emerging company advisor, stockbroker, and wealth management platform. The new team at Alpine Capital includes RE Capital ...

Former AMP Capital executive takes over at Selfwealth

CASSANDRA BALDINI  |  THURSDAY, 19 OCT 2023
... the board is united in its view that Keary was the stand-out candidate for the role. "Craig has broad experience in stockbroking, fintech platforms, and, importantly, driving strategic growth. He has a track record of success in this in global markets ...

BBY chief charged with aiding and abetting fraud

KARREN VERGARA  |  TUESDAY, 10 OCT 2023
The former chief executive of stockbroking firm BBY has been charged with several offences which include aiding and abetting fraud and could face lengthy jail time. The Downing Centre Local Court charged Arunesh Narain Maharaj after ASIC alleged that ...

VFMC chair to retire

JAMIE WILLIAMSON  |  FRIDAY, 28 JUL 2023
... highly regarded non-executive director with financial services experience in funds management, investment banking and stockbroking," VFMC said. In her executive career, Gay spent 20 years at Goldman Sachs. In terms of non-executive roles, she is currently ...

Advisers lacking PII sidestep AFCA rulings

KARREN VERGARA  |  FRIDAY, 28 JUL 2023
... related to financial advice. Investment and advice complaints capture financial advice, managed funds, timeshare, stockbroking, horseracing syndicates, and crypto. "The relatively low number of complaints received by AFCA relating to advice is reflective ...

Co-heads take charge of FI&C at BNP Paribas APAC

ANDREW MCKEAN  |  THURSDAY, 8 JUN 2023
... in Hong Kong. Meanwhile, Wootton bring over 25 years of experience in fund administration, investment management, stockbroking, and the securities services industry. He was previously regional head of local custody and clearing product, APAC. "Hugues ...

AFCA appoints lead ombudsman, investments and advice

CHLOE WALKER  |  TUESDAY, 9 MAY 2023
... advice complaints, in areas such as financial planning, derivatives, managed funds, timeshare, cryptocurrency and stockbroking," Smith said. "Shail has forged strong relationships with key stakeholders, among other things initiating a financial advice ...

Industry welcomes experience pathway consultation

CASSANDRA BALDINI  |  WEDNESDAY, 19 APR 2023
... FASEA education regime, still in place, failed to approve or recognise the education qualifications of those in the stockbroking and investment advice profession, said the SIAA. Fox added the release of the draft legislation enables advisers to know ...

Cboe Australia chief exits, successor named

KARREN VERGARA  |  WEDNESDAY, 15 FEB 2023
... director, co-head of global markets for Australia and New Zealand. He also held roles at Prudential Bache, Wilsons Stockbroking and Craigs Investment Partners. Quinn spent more than 21 years at AllianceBernstein, most recently as global co-head of equity ...

Wilsons Advisory fined $550k by ASIC MDP

JAMIE WILLIAMSON  |  FRIDAY, 3 FEB 2023
Wilsons Advisory and Stockbroking paid the significant penalty which was issued by the Markets Disciplinary Panel (MDP) after it found the firm to have incorrectly reported many trades as Trade with Price Improvement (TWPI). The $548,328 penalty was ...