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Patersons lifts compliance focus after ASIC review

Perth-based Patersons Securities Ltd has agreed to a two-year review process of its compliance procedures under an enforceable undertaking to the Australian Securities and Investments Commission, after an investigation into the firm's Canberra operations.

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Corporate finance employees

6th-Azure Capital26
7th-Argonaut14
8th-Patersons SecuritiesNFP
9th↑Hartleys10
10th-Regency CorporateNFP
72 corporate finance ranked by staff in corporate finance area (WA)

Assets under management or net assets ($m)

21st↓Yuuwa Capital$40.0m
22nd-Katana Capital$36.4m
23rd-Patersons Securities$2,200.0m
24th-Bentley Capital$13.5m
25th-Grandbridge$12.1m
54 fund managers ranked by assets under management or net assets

WA revenue

58th-Access Group Australia$80.0m
59th-Ross North Group$73.7m
60th↓Patersons Securities$73.4m
61st↓OrontideNFP
62nd↓Outback Travel Centres$54.8m
109 private companies - large ranked by revenue most recent financial year

Client advisers

1st-Patersons SecuritiesNFP
2nd-Hartleys46
3rd-Euroz Securities36
4th-Bell Potter Securities30
5th-CPS Capital Group26
20 stockbrokers ranked by number of client advisers in WA

Number of Employees

Corporate Finance

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