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Showing 71 - 80 of 100+ results for Karren Vergara

Macquarie Securities slapped with $126k fine

KARREN VERGARA  |  TUESDAY, 18 MAY 2021
Macquarie Securities Australia (MSA) has copped a $126,000 fine for breaching market integrity rules, making this its fifth infringement in the last six years. The Markets Disciplinary Panel (MDP) found that MSA failed to follow a client's instruction ...

BTIG names co-heads of APAC

KARREN VERGARA  |  TUESDAY, 18 MAY 2021
BTIG has appointed two co-leads for the Asia-Pacific business, as well as a chief strategy officer. Andrew Dalgleish and Trevor Harrison were named co-heads of BTIG Asia-Pacific, while Samuel Leung is the new chief strategy officer of BTIG Hong Kong. ...

New responsible agricultural fund seeks $300m

KARREN VERGARA  |  TUESDAY, 18 MAY 2021
An agricultural investment manager is launching a new fund to sophisticated investors that uses land restoration practices that combats carbon emissions and Australia's drought problem. Brisbane-based Australian cattle property investment manager ...

BlackRock secures licence to operate in China

KARREN VERGARA  |  MONDAY, 17 MAY 2021
BlackRock has advanced its expansion into China, obtaining a licence from the local regulator to operate in wealth management via a joint venture. China Banking and Insurance Regulatory Commission (CBIRC) has granted BlackRock CCB Wealth Management ...

ASIC bans Theta managing director

KARREN VERGARA  |  MONDAY, 17 MAY 2021
ASIC has banned the managing director of Theta Asset Management for four years from the financial services industry. The banning order for Robert Patrick Marie comes after several instances of misconduct relating to Theta, the responsible entity of ...

FASEA approves two degrees

KARREN VERGARA  |  MONDAY, 17 MAY 2021
The Financial Advisers Ethics and Standards Authority has added two degrees to its approved list of courses. Any bachelor's degree with a major in financial services that commenced from March 2021 at Southern Cross University has been given FASEA's ...

AFCA welcomes new chair

KARREN VERGARA  |  MONDAY, 17 MAY 2021
An Order of Australia recipient has been named the new chair of the Australian Financial Complaints Authority, replacing Helen Coonan. John Pollaers is the new independent chair of AFCA, replacing Coonan, whose tenure comes to an end this month. Coonan ...

Female CFPs more invested in financial planning

KARREN VERGARA  |  FRIDAY, 14 MAY 2021
A new survey reveals that women with the Certified Financial Planner designation are more focused on holistic yet detailed advice and can build client trust better than male counterparts. The survey commissioned by the CFP Board of Standards found that ...

Loomis Sayles wins super fund mandate

KARREN VERGARA  |  FRIDAY, 14 MAY 2021
An industry superannuation fund awarded a $180 million mandate to Loomis, Sayles & Company. Statewide Super appointed Loomis Sayles for an asset-backed securitised strategy aiming to achieve returns of cash plus 2% to 3%. Based in Boston, Loomis Sayles ...

APRA extends IDII overhaul deadline

KARREN VERGARA  |  THURSDAY, 13 MAY 2021
APRA has given life insurers another year to have the policy contract term measure for individual disability income insurance (IDII) in full force by 1 October 2022. The prudential regulator has acknowledged the challenges life insurers are facing ...