Displaying results 181 - 190 of 206
… 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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… 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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… 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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… 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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… 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 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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… 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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… 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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… 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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