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Showing 31 - 40 of 429 results for "stockbroking"

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 ...

Education reforms are promising: SAFAA

KARREN VERGARA  |  FRIDAY, 28 JAN 2022
... recommendation, advisers can satisfy the qualifications by completing courses in finance, financial services, investments, stockbroking, wealth management, business law and so forth. "This is a break from the previous approach of micromanaging long and ...

Labor promises to recognise adviser experience

KARREN VERGARA  |  FRIDAY, 10 DEC 2021
... financial planner, which means the educational focus on financial planning degrees excludes much-needed expertise. "In stockbroking, there are advisers with medical degrees who are experts on health stocks, or geologists who are experts on resource stocks ...

New head of product, trading for AUSIEX

CHLOE WALKER  |  FRIDAY, 10 DEC 2021
... leadership team and help us set the direction for product and trading at AUSIEX." Grant's career spans 30 years in stockbroking and margin lending. He joins AUSIEX from CommSec, where he was executive manager, strategic projects from February 2020. Immediately ...