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Showing 1 - 10 of 12 results for "Securities Act"

Finfluencer failed to disclose paid promotions, says regulator

JAMIE WILLIAMSON | WEDNESDAY, 30 APR 2025

... activities. The Alberta Securities Commission (ASC) found James Floreani, who runs Jayconomics, breached the local Securities Act when he engaged in investor relations activities for four separate product issuers via his social media content. Jayconomics ...

SEC charges duo over church-based fraud

JAMIE WILLIAMSON | FRIDAY, 5 MAY 2023

... antifraud provisions of the federal securities laws, as well as violations of registration provisions under the Securities Act. The SEC is seeking permanent injunctions, including conduct-based injunctions, disgorgement with prejudgment interest, civil ...

Startup founder charged for defrauding JPMorgan

JAMIE WILLIAMSON | WEDNESDAY, 5 APR 2023

... Securities and Exchange Commission charged Javice with fraud, specifically violating the antifraud provisions of the Securities Act of 1993 and Securities Exchange Act of 1934. The SEC said Javice made numerous misrepresentations about Frank's users ...

VanEck launches active ETF with Sydney boutique

KANIKA SOOD | MONDAY, 12 JUL 2021

VanEck Australia has launched its first externally managed active ETF in partnership with a Sydney credit boutique. The VanEck Bentham Global Capital Securities Active ETF (Managed Fund) (ASX: GCAP) invests in Tier 1 (AT1) securities, contingent convertibles ...

CCIV consultation opens

KARREN VERGARA | THURSDAY, 17 JAN 2019

... requirements. Amendments to the Australian Securities and Investments Commission Act 2001 and the Personal Property Securities Act 2009 are also up for consultation. Finally, the tax legislation proposed is aiming to ensure the tax treatment of CCIVs ...

Australia's largest unrated bond issue closes at $85m

LAURA MILLAN | THURSDAY, 25 JUN 2015

Australia's largest unrated bond issue by rail freight operator SCT Logistics has closed its $85 million offer oversubscribed. FIIG Securities acted as sole originator for the dual-tenor issue, which comprised a four-year floating rate note series of ...

FIIG assists on $40 million corporate bond issuance

LAURA MILLAN | MONDAY, 16 MAR 2015

Information technology products distributor Dicker Data has announced a $40 million corporate bond issuance, with FIIG Securities acting as sole lead arranger for the transaction. The five-year notes issue has a minimum initial investment of $50,000 ...

Coffey to raise $40 million via bond market

MARK SMITH | WEDNESDAY, 3 SEP 2014

Professional services consultancy Coffey International will undertake an unsecured corporate bond offering to raise $40 million, with FIIG Securities acting as the lead arranger. FIIG Securities chief executive Mark Paton said the company was pleased ...

Aus and NZ fund issuance better under MRSO

RUTH LIEW | FRIDAY, 13 JUN 2008

... Australian fund issuers to offer their funds in New Zealand, under a new regime that is more streamlined than existing Securities Act exemption arrangements. Likewise, New Zealand fund issuers will be able to offer their funds in Australia without the ...

NZ securities reforms pass legislature

ALEX DUNNIN | FRIDAY, 13 OCT 2006

... development by increasing investment in New Zealand," said Dalziel. The Bill operates by amending and updating the Securities Act 1978, the Securities Markets Act 1988, as well as the Takeovers Act 1993 and the Takeovers Code. Dalziel said the new framework ...

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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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