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Search ResultsShowing 1 - 10 of 56 results for "OTC"
Investment manager criminally charged
ELIZA BAVIN  |  WEDNESDAY, 18 MAR 2020
... derivative sales, prime services and clearing, and provided a range of financial products including ASX24 futures and options and OTC ('over the counter') derivatives. SGSA's clients are wholesale clients, including financial institutions, hedge funds ...
Court punishes OTC derivative issuers
HARRISON WORLEY  |  FRIDAY, 28 FEB 2020
Three over-the-counter derivatives providers have been found guilty of contravening their AFSL licences by using account managers to pressure retail investors into purchasing products which lost investors more than $30 million. The Federal Court has ...
ASIC appoints receiver for derivatives issuer
ELIZABETH MCARTHUR  |  FRIDAY, 26 APR 2019
ASIC has cancelled the AFSL of an OTC derivatives issuer and helped appoint a receiver to the firm and its related companies. ASIC has successfully applied to the Federal Court to appoint receivers to Berndale Capital Securities, Berndale Capital Securities ...
ASIC dismisses Royal Commission insider trading reports
ELIZABETH MCARTHUR  |  THURSDAY, 28 MAR 2019
... date in question. ASIC said: "ASIC reviewed trading in the ordinary shares of banking sector, listed derivatives, unlisted (OTC) derivatives and short selling activity." "The trading review did not reveal evidence or indications of information leakage ...
J.P. Morgan expands derivatives clearing
KANIKA SOOD  |  WEDNESDAY, 26 SEP 2018
J.P. Morgan has become the first over the counter (OTC) clearing participant to launch an agency clearing service through the ASX for AUD and NZD denominated derivatives. The clearing broker's Australian-domiciled clients will now be able to keep all ...
ASIC unveils RG97 review
KARREN VERGARA  |  TUESDAY, 24 JUL 2018
... in the fund and interposed vehicles in each of the previous five years. Disclosure of interposed vehicle definitions; how OTC derivatives are treated; and tax implications are items that need to be taken into account, the stakeholders said. One of the ...
BBSW methodology restores trust
DARREN SNYDER  |  TUESDAY, 22 MAY 2018
... successful parallel run of the new methodology against the existing method. ASX executive general manager derivatives and OTC markets Helen Lofthouse said: "Users of the benchmark now have an even more robust and reliable benchmark, calculated where ...
Australia's first OTC trading desk for digital currencies opens
KANIKA SOOD  |  TUESDAY, 13 MAR 2018
... from next week. Sydney-based Bitcoin and digital currency exchange Independent Reserve will go live with Australia's first OTC digital currency trading desk on Monday, 19 March. The exchange claims to be giving digital currency investors the facilities ...
Thomson Reuters sells analytics business to institutional investors
DARREN SNYDER  |  FRIDAY, 2 FEB 2018
... the F&R division "has tremendous assets, including a world-leading data business, essential risk and compliance solutions, OTC trading venues, wealth management software, and a strong desktop business." "The partnership with Blackstone provides an opportunity ...
Netwealth signals managed account growth, business upgrades
DARREN SNYDER  |  FRIDAY, 19 JAN 2018
... also expanded the investment products available to wholesale investors to include the ability to purchase over-the-counter (OTC) bonds. Netwealth joint managing director Matt Heine said: "We are really pleased with our continued growth which is a testament ...
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