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Showing 511 - 520 of 854 results for "Code"

UBS cops $280,000 ASIC fine

ALEX BURKE  |  FRIDAY, 16 JUN 2017
UBS Securities paid $280,000 in penalties following two infringement notices issued by ASIC's Markets Disciplinary Panel. The first infringement notice pertained to UBS' PIN crossing system, in which orders are executed based on algorithms reflecting ...

Advisers preparing ahead of professional standards: Spot poll

DARREN SNYDER  |  TUESDAY, 13 JUN 2017
... provider to undergo further training. Another 18% said they have initiated "all of the above" including a review of industry code compliance. The remaining 40% of participants said they are doing nothing, and it may indicate a portion of advisers feel ...

BetaShares launches defensive ETF

KARREN VERGARA  |  WEDNESDAY, 7 JUN 2017
... to withstand interest rate risks and exceed returns on cash and short-dated term deposits. Listed on the ASX with ticker code QPON, BetaShares' Australian Bank Senior Floating Rate Bond ETF currently yields 2.87% per annum (excluding fees). About 80% ...

FINSIA expands professional network

DARREN SNYDER  |  THURSDAY, 1 JUN 2017
The Financial Services Institute of Australasia is broadening its remit to include the securities and investment sectors as part of an expansion strategy for the finance professionals' network. Traditionally focused on the banking and institutional ...

FPA to quell adviser fears around education

JAMIE WILLIAMSON  |  WEDNESDAY, 31 MAY 2017
... provide assurance to consumers that their financial planner will be highly trained, experienced and subject to an enforceable code of ethics," De Gori said. The FPA National Roadshow travels to 33 locations across Australia and has attracted almost 700 ...

Colonial First State platforms make deferred annuities more accessible

JAMIE WILLIAMSON  |  WEDNESDAY, 24 MAY 2017
... functionality enables advisers to pre-populate application forms with client details via integration with XPLAN, provides SMS code validation to submit applications and a faster application processing time. The program also analyses client data to ensure ...

Senior ATO official tangled in $165m fraud scandal

JAMIE WILLIAMSON  |  THURSDAY, 18 MAY 2017
... appearing at the press conference, acting commissioner of taxation Andrew Mills said that Australian Public Service (APS) Code of Conduct investigations have also been commissioned into a small number of other ATO employees and that those being investigated ...

FPA appoints conduct commission chair

EMMA RAPAPORT  |  FRIDAY, 5 MAY 2017
The Financial Planning Association of Australia is taking a step forward to becoming a code monitoring body with the appointment of a new chair to its conduct review commission. Graham McDonald, a solicitor and barrister with experience in dispute resolution ...

AFA recruits for professionalism

JAMIE WILLIAMSON  |  THURSDAY, 4 MAY 2017
... policy and professionalism Samantha Clarke in preparing the association to become a monitoring body of an ASIC-approved AFA Code Scheme and to assist advisers in transitioning to the FASEA standards. Vogel was most recently a senior legal counsel with ...

VanEck to launch smart beta bond ETF

ALEX BURKE  |  THURSDAY, 27 APR 2017
... beta Australian fixed income exchange-traded fund on the ASX - the first of its kind in Australia. Trading under the ticker code PLUS, the VanEck Vectors Australian Corporate Bond Plus ETF tracks the Markit iBoxx AUD Corporates Yield Plus Index. This ...