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Showing 811 - 820 of 1111 results for "Notice"

UBS fined $30,000 for decimal point mistake

MARK SMITH  |  FRIDAY, 19 JUL 2013
... decimal point caused the price of a BetaShares ETF to fall by 99%. Markets Disciplinary Panel (MDP) issued an infringement notice for the breach of market integrity rules. On 16 December 2011, UBS submitted an order on behalf of a client to sell 1,800 ...

Peace, be still

BENJAMIN ONG  |  FRIDAY, 12 JUL 2013
"...And he was in the hinder part of the ship, asleep on a pillow: and they awake him, and say to him, Master, care you not that we perish? And he arose, and rebuked the wind, and said to the sea, Peace, be still. And the wind ceased, and there was ...

Is that a fiscal stimulus I smell?

BENJAMIN ONG  |  WEDNESDAY, 3 JUL 2013
... Logins, The Gambler The Fed after all remains the major game changer. Speaking of game changes, I bet you didn't fail to notice (sorry for the double negative) the Australian stock market's sharp shoot up yesterday. The All Ords jumped by 2.6% for its ...

Labor completes super agenda with passage of four bills

JAMES FERNYHOUGH  |  TUESDAY, 25 JUN 2013
The federal government's superannuation reform agenda is complete following the passage of four bills through the Senate last night. Included in the new laws (listed below) was an increase in concessional contribution caps to $35,000 for people over ...

ASIC to face parliamentary inquiry over CBA

LAURA MILLAN  |  THURSDAY, 20 JUN 2013
... information that suggested serious misconduct in Commonwealth Bank financial planning. The vote took place today following a notice of motion by senator John Williams that was supported by senator Doug Cameron and Greens' leader Christine Milne. The ...

Coalition opposes TASA changes

LAURA MILLAN  |  MONDAY, 17 JUN 2013
... and expect people to comply with a new regulatory regime which hasn't even been legislated yet with less than two weeks notice," shadow minister for Financial Services and Superannuation Mathias Cormann said. Cormann matched the industry's demands and ...

ASIC continues proceedings against Wellington Capital

LAURA MILLAN  |  TUESDAY, 11 JUN 2013
... holders to do the transaction. PIF custodian Perpetual Nominees and ARL are also acting as defendants in the case. In a Notice of Meeting and Explanatory Memorandum sent to PIF unit holders, Wellington put out five resolutions but did not make any public ...

Merrill Lynch to pay $120k over compliance infringement

JAMES FERNYHOUGH  |  MONDAY, 3 JUN 2013
... Merrill Lynch Equities (Australia) Limited (Merrill Lynch) has paid a penalty of $120,000 to comply with an infringement notice issued by the Markets Disciplinary Panel (MDP). The Australian Securities and Investments Commission (ASIC) said Merrill Lynch ...

Out of sight, out of mind

BENJAMIN ONG  |  FRIDAY, 31 MAY 2013
Phew! About time, I say. About time that Wall Streeters put two and two together. The rationale behind last night's higher close on Wall Street suggests that players have finally made the connection. That is disappointing economic data equals no Fed ...

Midwinter puts planning software into the cloud

LAURA MILLAN  |  WEDNESDAY, 29 MAY 2013
Midwinter has integrated all its planning tools into the Advice Operating System (AdviceOS), software that planners can access from the cloud. The software is fully compliant with Future of Financial Advice (FoFA) regulations and includes client engagement ...