Search ResultsShowing 61 - 70 of 100+ results for "Securities"
SEC adopts retail investor protection package
KARREN VERGARA  |  THURSDAY, 6 JUN 2019
The US Securities and Exchange Commission has adopted a package of fiduciary rules to protect retail investors from financial advisers who put their self-interests first. Under the new rules called Regulation Best Interest and Form CRS Relationship ...
Macquarie Securities cops ASIC penalty
KANIKA SOOD  |  MONDAY, 3 JUN 2019
Macquarie's securities business has paid a $300,000 penalty for contravening market integrity rules, the corporate regulator said this morning. ASIC issued an infringement notice to Macquarie Securities on May 3, after its markets disciplinary panel ...
Court throws out Aurora fund takeover bid
KANIKA SOOD  |  FRIDAY, 31 MAY 2019
Aurora Funds Management yesterday won court orders against Primary Securities which tried to topple it as the responsible entity for a listed fund in a rogue shareholder meeting on January 15. In January, activist investor Tim Staermose and Primary ...
SSGA launches four model portfolios
KARREN VERGARA  |  THURSDAY, 30 MAY 2019
... by investing in multiple ETFs. Asset classes include domestic and international equities and investment-grade debt securities. Meanwhile, the income-based strategy seeks to provide exposure to income and yield-generating investments across asset classes ...
Boutique fund manager rebrands
ELIZABETH MCARTHUR  |  TUESDAY, 28 MAY 2019
... only and long/short strategies from the same research set," he explained. The fund typically maintains a 150% long securities exposure funded by short selling 50% of the securities.
Boutique hires distribution lead from AMP Capital
KARREN VERGARA  |  FRIDAY, 24 MAY 2019
... joined Pendal Group as head of private bank, broker and family office distribution. He previously worked at Bell Potter Securities in intuitional sales and trading, and is a former financial adviser at Morgan Stanley Smith Barney. Ophir manages two Australian ...
NAB sells fund administration business
HARRISON WORLEY  |  MONDAY, 20 MAY 2019
... Deutsche Borse has acquired the specialist managed funds and term deposit administrator through its international central securities depository subsidiary, Clearstream. The move will see Clearstream enter the Australian market when the deal closes in ...
Former Kaz Capital adviser banned
ELIZABETH MCARTHUR  |  FRIDAY, 17 MAY 2019
... for a period of six years following an ASIC investigation during which he was found to be buying and selling listed securities on clients' accounts without the authorisation to do so. He was alsotrading contracts for difference (CFDs) in a personal capacity ...
Beware: Zombie ETFs
KANIKA SOOD  |  THURSDAY, 16 MAY 2019
... Zombie criteria. These include: BetaShares Agriculture (hedged), Betashares Euro, K2 Global Equities Fund, three ETF Securities products (physical palladium, platinum and precious metal), and three UBS IQ products (Japan ethical, USA ethical and research ...
VGI Partners' dual pitch to investors
KANIKA SOOD  |  WEDNESDAY, 15 MAY 2019
... $202 million entitlement offer that runs May 23 to June 6. The LIC takes long and short positions in global listed securities and has returned 17% on post-tax NTA basis since its 2017 inception. It currently has a market cap of around $700 million. "The ...
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