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Showing 931 - 940 of 6694 results for "Securities"

NSX appoints chief operating officer

KANIKA SOOD  |  MONDAY, 18 JAN 2021
... Service (TAS) to implement consistent post-trade functions across ASX, Chi-X and NSXA. NSXA is an ASIC licensed Tier 1 Securities Exchange and a subsidiary of NSX Limited. The two other Tier 1 exchanges are ASX and Chi-X. "On behalf of the NSXL, I am ...

First Sentier launches infrastructure fund

KARREN VERGARA  |  FRIDAY, 15 JAN 2021
... infrastructure, toll roads and airports. Jessica Jouning, a senior investment analyst in the global listed infrastructure securities team, works alongside Greenup as assistant manager overseeing FLIAX. The strategy is unavailable in Australia. "US investors ...

Ignition Advice expands team

ELIZABETH MCARTHUR  |  FRIDAY, 15 JAN 2021
... Advisers where he was general manager, partnerships. Coulter was head of corporate development at AMP Advice (and ipac Securities prior) for eight years. He has also worked in business development at BT and ING. "I have for a considerable period of time ...

BNP Paribas to offer initial margin services

KANIKA SOOD  |  THURSDAY, 14 JAN 2021
BNP Paribas Securities Services is expanding its collateral management services in Asia Pacific, to include initial margin requirements arising for non-cleared OTC derivatives positions. Initial margin rules for non-cleared derivatives transactions ...

Fund manager charged with defrauding investors

ELIZA BAVIN  |  WEDNESDAY, 13 JAN 2021
... from retail investors who he had duped into believing he was an experienced and successful investment manager. The Securities and Exchange Commission in the US charged Eric Malley, and his company MG Capital Management, with defrauding retail investors ...

The barriers to limited advice: Licensees

ANNABELLE DICKSON  |  MONDAY, 11 JAN 2021
... of guidance and strategy documents are the major barriers to limited advice, according to licensees. The Australian Securities and Investments Commission's (ASIC) latest consultation paper, Promoting access to affordable advice for consumers, is giving ...

Deutsche Bank fined for alleged bribery

ANNABELLE DICKSON  |  MONDAY, 11 JAN 2021
The US Securities and Exchange Commission (SEC) has fined the bank for falsifying payment documentation in relation to third-party intermediaries. Deutsche Bank has agreed to pay more than US$120 million for violations of the Foreign Corrupt Practices ...

360's plan for Evans Dixon

KANIKA SOOD  |  THURSDAY, 7 JAN 2021
... the remaining shareholders of EPI 69 cents per share (13% higher), split as 30 cents per EP1 share and two stapled securities in 360 Capital for every five EP1 shares minus the dividends paid after that day.

ASIC to review impact of ASX outage

KANIKA SOOD  |  TUESDAY, 22 DEC 2020
... behaviour of market participants during this outage indicated too many firms are reliant on the ASX to trade listed securities. With a fully functioning alternative venue available, we are examining why far more trading did not occur on Chi-X on the ...

Almost 3000 advisers gone in 2020

ELIZABETH MCARTHUR  |  FRIDAY, 18 DEC 2020
... Planning advisers joining the licensee. A further 10 went to AMP-aligned Charter Financial Planning and eight went to IPAC Securities. AMP-aligned dealer groups Charter and Hillross were also among the licensees to shed the most advisers, losing 123 ...