STOCKBROKING

Policy & Regulation

A former strategy manager at suspended stockbroking firm BBY has been charged with aiding and abetting dishonest conduct including the alleged transfers of $8.7 million i...

Funds management

The former chief executive of failed stockbroker BBY has been charged with aiding, abetting, counselling or procuring fraud with each of the two counts carrying a maximum...

Policy & Regulation

The former operations head at BBY, which collapsed in 2015 in Australia’s largest stockbroking failure since the GFC, has been sentenced after pleading guilty to three co...

Financial planning

Online stockbroker OpenMarkets Australia has paid a $200,000 infringement notice penalty to the Markets Disciplinary Panel....

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Financial planning

ASIC has banned a former financial adviser of Wilson Advisory and Stockbroking after his conduct led to trading in exchange traded options on two clients' accounts withou...

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Funds management

Lonsec has sold its broking business to FinClear with a rebrand likely down the track and said it would be business as usual for stockbroking clients....

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Funds management

Independent Australian stockbroker OpenMarkets has partnered with IRESS in a bid to enhance trading connectivity by providing clients with greater access to Australian ca...

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Funds management

Australia’s online broking market has been reinvigorated by a surge in the number of first time traders over the first half of 2015, research reveals....

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Funds management

Peer-to-peer investment startup SelfWealth will roll out a new brokerage solution aiming to 'revolutionise' online broking....

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Policy & Regulation

The stockbroking industry should not be targeted in ASIC’s cost recovery program as most complaints are against financial planners. ...

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Funds management

Shaw Stockbroking re-brands itself to Shaw and Partners, even as it adds 15 advisers to the firm....

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MARKET INSIGHTS

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Never miss the latest news and developments in wealth management industry

Squeaky'21

My view is that after 2026 there will be quite a bit less than 10,000 'advisers' (investment advisers) and less than 100...

1 week 1 day ago
Jason Warlond

Dugald makes a great point that not everyone's definition of green is the same and gives a good example. Funds have bee...

1 week 1 day ago
Jasmin Jakupovic

How did they get the AFSL in the first place? Given the green light by ASIC. This is terrible example of ASIC's incompet...

1 week 2 days ago

AustralianSuper and Australian Retirement Trust have posted the financial results for the 2022–23 financial year for their combined 5.3 million members....

9 months 2 weeks ago

A $34 billion fund has come out on top with a 13.3 per cent return in the last 12 months, beating out mega funds like Australian Retirement Trust and Aware Super. ...

9 months ago

The verdict in the class action case against AMP Financial Planning has been delivered in the Federal Court by Justice Moshinsky....

9 months 2 weeks ago