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Showing 1 - 10 of 99 results for "Macquarie Equities"

Charges dropped against Macquarie adviser

KARREN VERGARA | TUESDAY, 8 OCT 2024

... 2015 and May 2018. ASIC found Acworth undertook dishonest trades on behalf of his clients while working for Macquarie Equities in the form of MINI warrants (shares, indices, currencies, or commodities). It was alleged he misrepresented the value of clients' ...

Remediation bills revealed amid call for levy freeze extension

JAMIE WILLIAMSON | WEDNESDAY, 24 AUG 2022

... weren't included by ASIC as its remediation for non-compliant advice was completed in June 2017 as part of Macquarie Equities' Enforceable Undertaking with ASIC, totalling $24.7 million. On the above data, ASIC noted that the term 'customers' broadly ...

Macquarie Equities awards back-office mandate

KARREN VERGARA | TUESDAY, 26 OCT 2021

Macquarie Equities awarded a third-party clearing and settlements mandate to Third Party Platform. TPP, the subsidiary of ASX-listed Bell Financial Group, will begin servicing Macquarie Equities' private bank and wrap platform this month. TPP has ...

Former advisers face huge fines

ELIZABETH MCARTHUR | FRIDAY, 6 NOV 2020

... has been charged with five counts of fraud which has a maximum penalty of 20 years in prison. Acworth was a Macquarie Equities adviser between 2015 and 2018. Acworth is currently on bail, with the matter scheduled to be heard again on 29 January 2021. ...

Former Macquarie adviser cops lifetime ban

ALLY SELBY | THURSDAY, 13 FEB 2020

... until 31 December 2019. ASIC said Acworth undertook dishonest trades on behalf of his clients while working for Macquarie Equities in the form of MINI warrants (shares, indices, currencies or commodities). Acworth "misrepresented to his client the value ...

Compensation bill hits $750m

ELIZA BAVIN | WEDNESDAY, 12 FEB 2020

... all the statistics for Macquarie due to an agreed enforceable undertaking between the two parties allowing Macquarie Equities to undertake work that was "largely consistent" with ASIC's review. ASIC commenced the review into the remediation programs ...

Watermark pulls out of global equities

JAMIE WILLIAMSON | MONDAY, 21 JAN 2019

... Dudley was appointed as an investment analyst in November, covering the financials sector. Dudley joined from Macquarie Equities where he covered Australian banks. Finally, Alex Gurman also joined in November as a trader. Formerly of Goldman Sachs, Gurman ...

Former Macquarie advisers banned

JAMIE WILLIAMSON | WEDNESDAY, 19 SEP 2018

... services for 10 years. Landau was an authorised representative and senior wealth adviser in the Adelaide office of Macquarie Equities, while Campbell was an authorised representative and executive investment adviser in the same office. Both held these ...

Former Macquarie equities team launches boutique

KANIKA SOOD | FRIDAY, 25 MAY 2018

Multi-affiliate investment manager Pinnacle Investments officially launched its latest boutique firm with two former Macquarie stock pickers at the helm. Patrick Hodgens, who spent 28 years as Macquarie's head of equities and as an executive director ...

AAT upholds ruling against ex-Macquarie and ex-Credit Suisse advisers

EMMA RAPAPORT | TUESDAY, 12 DEC 2017

The Administrative Appeals Tribunal has affirmed ASIC's decision to ban a former Macquarie equities financial adviser and former Credit Suisse employee from providing financial services for three years. ASIC's decision to ban Tony Davidof and Philip ...

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BT appoints new head of strategy

KARREN VERGARA | 10:47AM

A former Allianz Retire+ executive has joined BT as the new head of strategy.

ASX sees trade volumes soar in May

MATTHEW WAI | 12:24PM

ASX saw a substantial growth in trade volumes last month, despite continued lackluster movement in IPOs.

Otivo launches AI-powered financial advice

MATTHEW WAI | 12:21PM

Otivo has launched a mobile app for Australians to access licensed advice powered by AI.

Munro expands access to climate focused fund

VINNY VUCAGO | 12:09PM

The Munro Global Growth Climate Leaders PIE Fund has been opened to retail investors in New Zealand.

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