Displaying results 171 - 180 of 200
… i.e., a process of identifying when to involve or alert specific personnel, including senior leadership, of an … reports, management commentary, auditors' opinions, and investor relations materials). Incident response plans, … reports, management commentary, auditors' opinions, and investor relations materials). Incident response plans, …
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… in the public interest or for the protection of investors, the Commissioner of the FSA may order a change of … (ii) To implement measures to ensure the protection of investors in preparation for an unexpected event, through … purpose and effect in that the provisions are intended to alert the FSA and Commission/NFA, respectively, of …
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… month-end. The purpose of the regulatory notices is to alert the Commission and the firm's DSRO as early as … placed into a liquidation proceeding under the Securities Investor Protection Act by the Securities Investor Protection Corporation (``SIPC''). The trustee …
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… month-end. The purpose of the regulatory notices is to alert the Commission and the firm's DSRO as early as … placed into a liquidation proceeding under the Securities Investor Protection Act by the Securities Investor Protection Corporation (``SIPC''). The trustee …
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… month-end. The purpose of the regulatory notices is to alert the Commission and the firm's DSRO as early as … placed into a liquidation proceeding under the Securities Investor Protection Act by the Securities Investor Protection Corporation (``SIPC''). The trustee …
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… annually; (v) implement an early warning system designed to alert senior management when position limits are in danger … involving such specific derivative contract.'' ADM Investor Services Inc. commented on the differences between … LLP (on behalf of Peregrine Financial Group Inc.), ADM Investor Services Inc., John Stewart & Associates Inc., and …
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… effectively a tax on other market participants, especially investors who trade on open, public exchanges'''). … made available to trade, the clearing determination would alert market participants to the fact that specific classes … effectively a tax on other market participants, especially investors who trade on open, public exchanges'''). …
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… type of entity, and sells the equity interests therein to investors, but retains the right to call, repurchase, or … the requirements in proposed Sec. 39.6(g)(1)-(2). Besides alerting the Commission of the election, the information … type of entity, and sells the equity interests therein to investors, but retains the right to call, repurchase, or …
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… Societe Generale (``SG''); The Association of Institutional Investors (``AII''); and The Committee on Capital Markets … potential losses. The purpose of the calculation is to alert the clearing firm to potential risks that might … Societe Generale (``SG''); The Association of Institutional Investors (``AII''); and The Committee on Capital Markets …
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… oversee the audits of public companies in order to protect investors and the public interest by promoting informative, … the Joint Audit Program accordingly; (3) Issuing risk alerts for futures commission merchants and/or designated …
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