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

Macquarie Equities awards back-office mandate

KARREN VERGARA  |  TUESDAY, 26 OCT 2021
... Alastair Provan said: "We are looking forward to building on our existing long-term relationship with Macquarie Equities Limited and look forward to managing its back-end settlement and clearing functions for its private bank and wrap platform."

Former adviser cops ASIC reprimand

JAMIE WILLIAMSON  |  FRIDAY, 24 MAR 2017
A former Macquarie Equities Limited adviser agreed to not provide financial services for four years as part of an enforceable undertaking by ASIC. The regulator determined that Anthony Wilson had failed to comply with financial services laws between ...

Macquarie set to pay $14m to advice clients

LAURA MILLAN  |  MONDAY, 2 NOV 2015
Macquarie Equities Limited (MEL) has identified 163 clients who received inadequate financial advice and are eligible for $14 million compensation. Macquarie Group confirmed that the enforceable undertaking dictated by the Australian Securities and ...

Macquarie adviser forged signatures, lied to clients

LAURA MILLAN  |  FRIDAY, 7 AUG 2015
An authorised representative of Macquarie Equities Limited (MEL) has been banned for six years after the regulator found that he forged client documents. Shawn Hickman engaged in unauthorised discretionary trading on his clients' accounts between November ...

ASIC ends Macquarie EU but sees gaps in advice files

LAURA MILLAN  |  FRIDAY, 13 FEB 2015
Macquarie Equities Limited advice files have gaps and require further testing, the Australian Securities and Investments Commission (ASIC) said as the two year enforceable undertaking (EU) into the organisation's advice arm comes to an end. "While there ...

Macquarie forced to contact all advice clients for remediation

LAURA MILLAN  |  FRIDAY, 15 AUG 2014
Macquarie Equities Limited (MEL) must contact all clients who received advice from its financial planning arm, Macquarie Private Wealth (MPW), going back to 2004 following action from the regulator. Under the enforceable undertaking (EU) in place since ...

Macquarie rebukes advice, compliance concerns

LAURA MILLAN  |  TUESDAY, 8 JUL 2014
... Macquarie Private Wealth." The document referred to lending practices between 2002 and 2010 within Macquarie Equities Limited and Macquarie Private Wealth. "The committee found that some of Australia's banking institutions turned a blind eye to irresponsible ...

OzForex clients gain margin trading

RUTH LIEW  |  THURSDAY, 11 SEP 2008
... operating in Australia in 2002. OzForex operates global offices in the UK and Canada and is a subsidiary of Macquarie Equities Limited.

Macq Equities selects Praemium V-Wrap

... and testing program. Praemium Limited (ASX:PPS) is pleased to announce that it has been selected by Macquarie Equities Limited to provide its portfolio administration service (V-Wrap) to a select number of Macquarie's planners and wealth advisers. "We ...

CARE Super opens ASX200 trading for members

HAMISH MADDEN  |  THURSDAY, 18 MAY 2006
... has announced a new investment option which will allow members to actively invest in ASX200 stocks. Macquarie Equities Limited will provide the functionality and members with account balances of over $10,000 will be able to actively trade stocks using ...
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