Search Results | Showing 41 - 50 of 633 results for "derivatives" |
| | | ... panel, including Barrenjoey Capital Partners general counsel Annette Spencer, former Deutsche Bank head of listed derivatives and clearing for APAC Sebastien Bonvalet-Nicolle and Regal Partners head of markets compliance Andrew Couper. "We welcome the ... |
| | | | ... management. The fund invests in local and international debt and equity securities that are listed or unlisted, as well as derivatives. It has some 425 wholesale investors comprising family offices, SMSFs, charitable organisations and high-net-worth ... |
| | | | ... and unlisted shares in PWM, while also promoting a trading course involving contracts-for-difference and dealing in derivatives without a licence. However, those plans were never fulfilled, and PWMS's Australian financial services licence (AFSL) ... |
| | | | ... Bank's "multiple and significant compliance failures" relating to its futures-dealing business and over-the-counter derivatives trade reporting. "Where shortcomings are identified, the board holds staff accountable, seeks to incentivise future improvement ... |
| | | | ... distribution. Waterworth has also worked for Société Générale and UBS with their exchange-traded funds and equity derivatives, respectively. La Trobe called the appointment "opportune," given its recent launch of the La Trobe Private Credit Fund ... |
| | | | ... financial management and transformation," the board said. Prior to working at InvestSMART, Ward was a consultant - derivatives strategy at Atlas Funds Management for more than four years. He also worked as portfolio manager for a decade at Aurora. InvestSMART ... |
| | | | ... not apply to our investments in pooled vehicles (such as exchange traded funds, unit trusts and fund of funds), or derivatives, or other forms of investment which may expose our portfolio indirectly to companies that meet the criteria and threshold for ... |
| | | | ... "multiple and significant compliance failures" relating to its futures-dealing business and over-the-counter (OTC) derivatives trade reporting. The failures have been undetected for many years, including one that lingered for a decade, ASIC said, forcing ... |
| | | | ... correlation to growth assets. It primarily invests in Australian government, semi-government and corporate bonds, related derivatives and cash and cash like securities. The Ellerston JAADE Australian Private Assets Fund (Wholesale) takes minority interests ... |
| | | | ... investment analyst. He previously worked as an analyst in the market supervision division at ASIC, where he covered OTC derivatives surveillance. The credit specialist began his career with the corporate regulator, initially overseeing strategic intelligence ... |
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