Displaying results 181 - 190 of 200
… the CFTC launched the SmartCheck Web site. It connects investors to tools to check the registration, license, and … This collection of tools allows the responsible investor to confirm the credentials of investment … history, and stay ahead of scam artists with news and alerts. …
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… Part of the PRA Rulebook by PRA- designated UK nonbank SDs alerting the PRA of a breach of the PRA- designated UK … hours of the occurrence of a reportable event or of being alerted to a reportable event by the PRA. The Commission … central banks and commercial banks, asset managers and investors, and companies to manage the risks inherent in …
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… in Salomon Forex v. Tauber,\12\ where a sophisticated investor sought to invalidate a multi-million dollar trading … ``[t]his case does not involve mass marketing to small investors, which would appear to require trading through an … The Commission also issued brochures to alert customers to the possible scams involving forex fraud. …
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… General Provisions, broker- dealers shall make available to investors, through notes in their annual financial … is proposing these conditions so that it will be alerted to the occurrence of any of the defined events in a … hours of the occurrence of a reportable event or of being alerted to a reportable event by the Mexican Commission. …
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… breaches of risk tolerance limits set by an SD or MSP, and alerting supervisors within the risk management unit and … on this definition, the Association of Institutional Investors (AII) stated that basing the definition on an … banks, hedge funds, pension funds, and other institutional investors, as well as corporate, governmental, and other …
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… than DCMs because participants must be sophisticated investors or must be hedging risk associated with their … is a SPDC. This notice requirement, however, will serve to alert the Commission to the contracts that are most likely … than DCMs because participants must be sophisticated investors or must be hedging risk associated with their …
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… than DCMs because participants must be sophisticated investors or must be hedging risk associated with their … is a SPDC. This notice requirement, however, will serve to alert the Commission to the contracts that are most likely … than DCMs because participants must be sophisticated investors or must be hedging risk associated with their …
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… than DCMs because participants must be sophisticated investors or must be hedging risk associated with their … is a SPDC. This notice requirement, however, will serve to alert the Commission to the contracts that are most likely … than DCMs because participants must be sophisticated investors or must be hedging risk associated with their …
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… detailed information about an outsize swap transaction may alert the market to the possibility that the original … negotiation affords less protection to unsophisticated investors than trading through the central markets, and that … negotiation affords less protection to unsophisticated investors than trading through the central markets, and that …
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… believes that Commission staff would be more effectively alerted to changes to the information in Form SDR for … 40 to update verification policies and procedures will help alert reporting counterparties and other market participants … the swaps marketplace with a finite number of institutional investors trading hundreds of thousands of products, often …
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