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Showing 571 - 580 of 3927 results for "November"

Morrison Securities pays infringement over DTRs

CHLOE WALKER  |  THURSDAY, 22 JUN 2023
... (MDP). According to the MDP, Morrison contravened the ASIC Market Integrity Rules on six occasions between October and November 2021. Specifically, On October 27, a client of Morrison inadvertently directed six orders to buy or sell securities to the ...

Former Capstone adviser in EU with ASIC

JAMIE WILLIAMSON  |  THURSDAY, 22 JUN 2023
... ongoing service arrangements, an ASIC investigation found. Blackaby was licensed through Capstone Financial Planning from November 2016 to 16 June 2023. The ASIC Financial Adviser Register shows he has now ceased, with the terms of the undertaking being ...

NAB progresses closure of custody arm

CASSANDRA BALDINI  |  WEDNESDAY, 21 JUN 2023
... period, Citi held the third spot with $693.6 billion assets under custody. The closure was originally confirmed by NAB last November, following years of mandate losses and a lack of success in offloading the business. At the time, NAB executive asset ...

High value investors playing it safe: Report

CHLOE WALKER  |  TUESDAY, 20 JUN 2023
... information such as annual reports and product disclosure statements also feature strongly." The study, conducted in November last year on behalf of the ASX by Investment Trends, is based on an in-depth survey of a nationally representative sample of ...

Australian Ethical selects new administrator

ANDREW MCKEAN  |  THURSDAY, 15 JUN 2023
... transition of superannuation administration services to a single provider. "Following the successor fund transfer (SFT) in November 2022, Australian Ethical is pleased to confirm that the initial integration program has been delivered according to plan ...

FinClear partners with trading platform

KARREN VERGARA  |  WEDNESDAY, 14 JUN 2023
... companies, including increased international visibility and liquidity," he said. Talevski was appointed to lead Webull in November 2021 after spending over 14 years at AUSIEX as a director of trade execution services. "FinClear was the obvious partner ...

King's birthday honours for industry executives

CHLOE WALKER  |  TUESDAY, 13 JUN 2023
... the order of Australia (AO). Moore has served as the federal government's special envoy for Southeast Asia since November 2022. Meanwhile, Alan Schwartz and Naomi Steer were recognised for their "distinguished service to the community through philanthropic ...

Director banned for eight years

CHLOE WALKER  |  TUESDAY, 13 JUN 2023
... relation to financial products. He is also banned from running a financial services business for the same period. In November 2020, Fox set up RAIC Capital, now known as Foxi Capital, where he offered consumers investment opportunities, including units ...

Former BBY operations lead sentenced

JAMIE WILLIAMSON  |  FRIDAY, 9 JUN 2023
... BBY was not entitled to draw down $4.4 million on 28 June 2013; draw down an average of $3.53 million each day between November 2014 and February 2015; and retain the additional funding from its overdraft between March and May 2015, a daily average of ...

CareSuper, Spirit Super charge ahead with $50bn merger

ANDREW MCKEAN  |  FRIDAY, 2 JUN 2023
... Julie Lander revealed plans to consider merger partners to reach a target fund size of $50 billion. A few months later in November, CareSuper and Spirit Super initiated a non-binding Memorandum of Understanding (MoU) to explore a possible merger. After ...