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|Showing 1 - 8 of 8 results for "Pershing Securities"|
|... local execution and settlements business to FinClear for an undisclosed amount. FinClear is set to takeover Pershing Securities Australia in a bid to scale and enhance Holder Identification Number (HIN)-based platform services. FinClear said it is too ...|
|... yesterday, with one billion shares offered at $2.60 at the time of float before the share price rose to $2.77. Pershing Securities and Hamilton Lane investors were among the 20 largest holders of the Latitude share register prior to the initial public ...|
|... charges were withdrawn from the client-segregated accounts. These breaches cost the bank a further $15,000. Pershing Securities Australia became the first to be criminally prosecuted in August over similar charges. Pershing was fined $15,000 for a breach ...|
|Pershing Securities Australia has become the first company in Australia to be criminally prosecuted over breaching client money obligations. The BNY Mellon subsidiary pleaded guilty in Sydney's Downing Centre Local Court and was ordered to pay a $40,000 ...|
|... in Australia, an AFSL is facing criminal prosecution for mishandling client monies, and has pleaded guilty. Pershing Securities Australia Pty Ltd (PSAL) pleaded guilty at the Downing Centre Local Court in Sydney to mishandling client monies after ASIC ...|
|Pershing Securities Australia has been charged after breaching client money obligations. The clearing and settlement solutions provider was charged with two counts of failing to pay client money into an account and one count of failing to comply with ...|
|Financial services firm Pershing Securities paid a $40,000 infringement notice issued by ASIC's Markets Disciplinary Panel after a failure of its automated processing system. In a statement released by ASIC, the Markets Disciplinary Panel said they ...|
|BNY Mellon-owned Pershing Securities Australia has adopted the Broadridge's Australian post-trade processing solution as its new middle- and back-office processing platform for third-party domestic clearing. The solution is designed to increase process ...|
In a year the average fund posted over 18% in returns, CommBank's Essential Super was the top one-year performer.
Superannuation funds can expect their results in the first performance test by August 31 under the new Your Future, Your Super reforms, according to an APRA letter sent Friday.
The Federal Court found that RI Advice Group's failure to provide rigorous oversight over a former financial adviser resulted in bad advice to consumer detriment.
Member of Parliament Tim Wilson will lead the charge to determine if big super's domination over the Australian sharemarket is stifling competition.
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