Search ResultsShowing 51 - 60 of 100+ results for "Securities"
BT advice boss lands new role
KANIKA SOOD  |  WEDNESDAY, 7 AUG 2019
... creating growth opportunities." Wright was last year questioned about the conduct of a Westpac adviser who recommended securities to his clients without taking their individual circumstances into account and how the company dealt with ASIC and a reference ...
Spaceship co-founder to exit
KANIKA SOOD  |  TUESDAY, 6 AUG 2019
... St George Bank's chief operating officer. He was appointed as chair in May 2018 , a month after the Australian Securities and Investments Commission slapped Spaceship and trustee Tidswell Financial Services with infringement notices about its promotional ...
Adviser stole $200k from SMSFs
ELIZABETH MCARTHUR  |  TUESDAY, 6 AUG 2019
The Australian Securities and Investments Commission (ASIC) permanently banned a former financial adviser who stole more than $200,000 from client self-managed superannuation funds. Robert Michael of Bentleigh, Victoria has been permanently banned from ...
BlackRock partners with $23bn super fund
HARRISON WORLEY  |  MONDAY, 5 AUG 2019
... index, the iShares ESG Global Bond Index Fund is designed to allow investors to gain exposure to global fixed income securities while excluding issuers across eight core filters: tobacco, alcohol, gambling, military weapons, civilian firearms, nuclear ...
VGI Partners readies $1bn Asian fund
KANIKA SOOD  |  MONDAY, 5 AUG 2019
... September. VGI said it is in the process of appointing joint lead managers: Crestone Wealth Management, Commonwealth Securities, Ord Minnett, Taylor Collison and Wilsons as the joint lead managers for the offer. VGI is targeting a maximum of $1 billion ...
Former adviser cops 20-year prison sentence
JAMIE WILLIAMSON  |  FRIDAY, 2 AUG 2019
... relating to a $29.3 million (US$20 million) Ponzi scheme. In October 2018, Bennett was found guilty of conspiracy, securities fraud, wire fraud, bank fraud and making false statements on a loan application. According to trial testimony, Bennett defrauded ...
ASIC reveals advice remediation progress
HARRISON WORLEY  |  THURSDAY, 1 AUG 2019
... within the next three months. ASIC said the 1.5 full-time equivalent staff resource figure was provided by Commonwealth Securities, with Commonwealth Private, Commonwealth Financial Planning, Financial Wisdom and Count Financial reporting no staff were ...
Patersons launches first SMAs
ELIZABETH MCARTHUR  |  THURSDAY, 1 AUG 2019
Patersons Securities has launched its first separately managed account offerings. The stockbroking and wealth management firm released two SMA models this week. The models had previously been run by Patersons as in-house model portfolios. It is the ...
UBS AM hires insto sales director
KANIKA SOOD  |  WEDNESDAY, 31 JUL 2019
... investment management of its Australian large, mid and small-caps funds to Yarra Capital Management and its properties securities fund to CBRE Clarion. UBS AM's small-caps team launched a new boutique named Eiger Capital . One of UBS AM's clients ...
ASIC clamps down on opaque active ETFs
KANIKA SOOD  |  THURSDAY, 25 JUL 2019
... traditional market making, an ETF issuer uses a third-party called a "market maker" who is tasked with buying and selling securities as people move in and out of the ETF. In return, the market maker gets to keep the difference on the securities' ...
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