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Showing 581 - 590 of 2080 results for "Australian Securities"

ASIC bans former Westpac trader

LAURA MILLAN  |  WEDNESDAY, 21 MAY 2014
... products, including foreign exchange and cross currency swaps on behalf of Westpac. An investigation of the Australian Securities and Investments Commission (ASIC) found that he entered more than 100 fictitious trading entries including off-market trades ...

CBA forced to review poor compensation methods

LAURA MILLAN  |  MONDAY, 19 MAY 2014
... more than 4,000 clients after its methods were found to be inconsistent and disadvantaged customers. The Australian Securities and Investments Commission (ASIC) has imposed licence conditions to the Australian financial services licence (AFSL) of both ...

Cuts to ASIC and ATO push industry to self-regulation

LAURA MILLAN  |  WEDNESDAY, 14 MAY 2014
Budget cuts to the Australian Securities and Investments Commission (ASIC) and the Australian Taxation Office (ATO) will force the industry to rely more on self-regulation. The budget is contemplating cuts of $142.8 million over the next three years ...

Liquidnet appoints Asia-Pacific COO

STAFF WRITER  |  TUESDAY, 13 MAY 2014
... head of market operations at Chi-X Australia, which he helped launch in 2012. He has also held roles at the Australian Securities Exchange (ASX), specializing in developing new products, including the implementation of a venue for the matching of large-sized ...

CFA Societies launches initiative to raise ethical standards

MARK SMITH  |  MONDAY, 12 MAY 2014
... investors was the cornerstone of improving confidence in the financial services industry. The body praised the Australian Securities and Investments Commission (ASIC) for taking steps to improve the quality of advice offered to retail clients by enhancing ...

NAB and ABS employees arrested for insider trading fraud

LAURA MILLAN  |  FRIDAY, 9 MAY 2014
... face charges of insider trading and abuse of public office. The charges follow a joint investigation of the Australian Securities and Investments Commission (ASIC) and the Australian Federal Police (AFP). Officials from both institutions told the media ...

NAB wealth division reports flat earnings

LAURA MILLAN AND AAP  |  THURSDAY, 8 MAY 2014
... Wealth cash earnings were $174 million for the half year ending on March 2013, the company reported to the Australian Securities Exchange (ASX). NAB said that income benefitted from strong growth in funds under management as a result of investment markets ...

Blue Sky launches first listed investment company

MARK SMITH  |  WEDNESDAY, 7 MAY 2014
... is markedly different from the predominantly equity and fixed interest focused LICs already listed on the Australian Securities Exchange (ASX). The LIC will co-invest alongside direct investors in Blue Sky's managed funds across the company's four alternative ...

YBR poised to acquire mortgage aggregator

LAURA MILLAN  |  WEDNESDAY, 7 MAY 2014
... board has also unanimously recommended the rest of its shareholders to accept the buyout offer. YBR told the Australian Securities Exchange (ASX) that it has entered into an implementation deed with Vow. Vow "is a profitable business that earns commissions ...

New reports to stir financial planning perfect storm

LAURA MILLAN  |  MONDAY, 5 MAY 2014
... recently by the polemic changes to the Future of Financial Advice (FoFA) law and by the Senate inquiry to the Australian Securities and Investments Commission (ASIC). The program is expected to unveil the practices of rogue financial advisers within ...