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Showing 391 - 400 of 6715 results for "Securities"

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 ...

ASIC calls out licensees: 'We will take action'

ELIZA BAVIN  |  THURSDAY, 20 JUN 2024
Australian Securities and Investments Commission (ASIC) commissioner Alan Kirkland issued a blunt warning to licensees not meeting their obligations. Speaking at an industry event, Kirkland said the regulator has spent two years warning licensees to ...

ASIC issues first stop order for crowd funding

ELIZA BAVIN  |  THURSDAY, 13 JUN 2024
The Australian Securities and Investments Commission (ASIC) has issued an interim stop order preventing Hirehood from offering securities under its crowd-sourced funding (CSF) offer document. The CSF was published on the VentureCrowd intermediary platform. ...

AustralianSuper bears brunt of complaints: AFCA

KARREN VERGARA  |  TUESDAY, 11 JUN 2024
... management stage. Advice Essentials and Madison Financial Group received eight complaints each. Derivatives and hedging securities comprised most of the complaints in the investments and advice sectors. Many of the firms linked to the complaints were ...

Brighter Super awards custody mandate

KARREN VERGARA  |  TUESDAY, 11 JUN 2024
... taxation services, financial and regulatory reporting, performance and analytics, investment mandate monitoring and securities lending. Brighter Super chief financial officer Garnett Hollier said State Street was selected for its "proven capability in ...

Macquarie AM bags top manager gong

KARREN VERGARA  |  FRIDAY, 7 JUN 2024
... Focused UBS Asset Management UBS Australian Small Companies Fund Australian Listed Property Pendal Pendal Property Securities Fund ESG - International Equities Dimensional Fund Advisors Dimensional Global Sustainability Trust (Unhedged Class Units) Fixed ...