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Showing 21 - 30 of 245 results for %22Australian Securities and Exchange Commission%22

2018 Financial Standard Investment Leadership Awards

JOHN DYALL  |  FRIDAY, 22 DEC 2017
... functionality that investors and their advisers now consider standard. This is reinforced by the way the Australian Securities Exchange (ASX) has entered wealth management via exchange traded funds (ETFs) and to a lesser extent through the introduction ...

Japanese broker targets Aussie SMSFs

DARREN SNYDER  |  MONDAY, 14 AUG 2017
... Australia the set of managed superannuation funds is quite big but they're heavily exposed to domestic equities. The Australian capital market size is limited, meanwhile its fund size is very big. Naturally speaking Australians should think more about ...

Barclays refunds US$97m for overcharging clients

KARREN VERGARA  |  WEDNESDAY, 17 MAY 2017
... mutual fund share classes, the SEC said in a statement. In a separate incident, Barclays was fined in March by the Australian corporate watchdog for failing to inform local clients they were exempt from holding an AFSL.

Financial advisers should consider bitcoin as an asset class: Dunworth

MICHELLE BALTAZAR  |  MONDAY, 8 MAY 2017
... presenting at the netwealth group study tour, a four-day program on fintech, investments and financial advice attended by Australian-based financial advisers with a combined FUA of more than $14 billion. Financial Standard is the media partner of the ...

Legalsuper awards global equities mandate

ALEX BURKE  |  WEDNESDAY, 26 APR 2017
... million in 2002 to just under US$50 billion in 2016. The new partnership with legalsuper will see the firm take its Australian assets under management to more than $1 billion. Legalsuper chief investment officer Ed Smith said he was "pleased to be GQG's ...

Goldman Sachs launches junk bond ETF

EMMA RAPAPORT  |  TUESDAY, 28 MAR 2017
... trader at Goldman Sachs, Tom Malafronte, earned more than $US100 million in trading profits for the firm. Only last week Australian investment manager Supervised Investments said it was time to think of floating rate assets and BB-rated credits as a ...

Fintech investment needs balance: APRA

EMMA RAPAPORT  |  WEDNESDAY, 15 FEB 2017
... and must continue to invest in maintenance of core technology, says APRA chairman Wayne Byres. Speaking at the A50 Australian Economic Forum in Sydney on Friday, Byres praised financial services firms for being "pretty quick to adapt new technology" ...

US mulls borrowing limit on leveraged ETFs

MARK SMITH  |  WEDNESDAY, 8 JUN 2016
... derivatives to 150% of net assets. There are currently only three leveraged ETFs available on the ASX: the BetaShares Geared Australian Equity Fund, the BetaShares Geared US Equity Fund and the BetaShares Australian Equities Strong Bear Fund. The first ...

Australian system needs "substantial reassessment": SEC veteran

ALEX BURKE  |  TUESDAY, 19 APR 2016
... light of news about a potential Royal Commission, former assistant director of the division of enforcement at the US Securities and Exchange Commission Jordan Thomas has said Australia's financial system could benefit from "substantial reassessment." ...

ASIC grilled on whistleblower compensation

LAURA MILLAN  |  MONDAY, 9 NOV 2015
... whistleblowers is back on the agenda after the Senate Economics Committee grilled representatives from the Australian Securities and Investments Commission (ASIC). At the latest Senate Economics Committee hearing, Nationals' Senator John Williams asked ...