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Showing 31 - 40 of 432 results for "stockbroking"

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 ...

Charges laid against former BBY head of operations

CASSANDRA BALDINI  |  TUESDAY, 13 SEP 2022
... BBY's AFS licence in May 2015 and it was placed into voluntary administration during the same month. The former stockbroking and financial services business was liquidated in June 2015 which caused significant client shortfalls. The licence suspension ...

New executive director joins Clearway

ANDREW MCKEAN  |  MONDAY, 12 SEP 2022
... in investment management, Humphris worked as an equity research analyst and institutional dealer at institutional stockbroking firms, her career commenced as a REIT analyst.

Ord Minnett announces Perth office launch

CASSANDRA BALDINI  |  FRIDAY, 17 JUN 2022
... WesTrac," he said. The Australian wealth management group, founded 71 years ago, provides a range of services including stockbroking, financial planning including SMSF, funds management, investment banking, and portfolio service. Its head of private ...

J.P. MAM head of Australia funds departs

KARREN VERGARA  |  MONDAY, 7 FEB 2022
... IOOF and TIR Securities. He spoke to Financial Standard in 2015 about his ambitions to get a foot in the door in stockbroking after odd jobs and backpacking around Australia. At Schroders, Hallifax took responsibility for business development in Victoria ...