与 «SECURITIES FIRM»相关的英语书籍
在以下的参考文献中发现
securities firm的用法。与
securities firm相关的书籍以及同一来源的简短摘要提供其在 英语文献中的使用情境。
1
Capital Adequacy beyond Basel : Banking,
Securities, and ...
Since investor protection is the main regulatory objective, capital regulation for
position risk extends only to the broker-dealer, the entity that deals with
unsophisticated investors, not the consolidated securities firm, which may contain
several ...
Hal S. Scott Professor and Director of the Program on International Financial Systems Harvard Law School, 2005
2
Securities Firms: Assessing the Need to Regulate Additional ...
SEC, CFTC, and the Federal Reserve each have jurisdiction over certain
securities firm subsidiaries and their activities, as do a number of SROs and state
regulators. These various regulatory programs, like SEC's regulation of broker-
dealer ...
3
Valuation of Fixed Income
Securities and Derivatives
In this case, the securities firm or commercial bank is acting in a brokerage
capacity. The second way in which a securities firm or commercial bank can get
an institutional investor into a swap position is by taking the other side of the
swap.
Frank J. Fabozzi, CFA, 1998
4
Canadian Bankruptcy/Insolvency, Companies’ Creditors ...
by the securities firm in the ordinary course of business as a securities firm from
or for a securities account of that person (i) for safekeeping or deposit or in
segregation, (ii) with a view to sale, (iii) to cover a completed sale, (iv) pursuant to
a ...
5
Taiwan Business Law Handbook
When the principal designates that payment/receipt of settlement payments and
foreign fees is to be done in New Taiwan Dollars, calculation of exchange rates
shall be negotiated between the principal and the securities firm on the basis of ...
Ibpus.com, USA International Business Publications, 2007
6
Bennett on Bankruptcy, 9th edition
maintain customers' securities accounts and meet margin calls; (g) distribute
cash and securities to customers; ih) transfer securities accounts to another
securities firm, to the extent practicable, comply with customer requests regarding
the ...
CCH Canadian Limited, Frank Bennett, 2006
7
Financial Markets and Institutions
premium on a securities firm is inversely related to economic growth and the
company's management skills. The management of some securities firms use
compensation incentives that are focused on increasing return on investment
without ...
8
Securities Regulation: Examples and Explanations
A securities firm not participating in the distribution may publish research reports
about an issuer in registration if: (1) the report is in the regular course of the firm's
business,(2)theissuer(whichneednotbeanon-reportingcompany) is not a ...
9
The
Securities Regulatory Handbook
If the securities firm is unwilling to provide adequate information, then the
financial institution should not engage in securities transactions with it.
Regulatory Guidelines Minimum Considerations In selecting a securities dealer
the following ...
PricewaterhouseCoopers, 2001
10
Capital Adequacy Beyond Basel: Banking,
Securities, and ...
Since investor protection is the main regulatory objective, capital regulation for
position risk extends only to the broker-dealer, the entity that deals with
unsophisticated investors, not the consolidated securities firm, which may contain
several ...
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找出国内和国际出版社所讨论的内容，以及词语
securities firm在以下新条目的上下文中是如何使用的。
Voce Capital Management Takes 5.1% Stake in Securities Firm FBR
It is a big player in the market for private, unregistered securities offerings known as 144As. The firm also has smaller merger- and restructuring-advisory, ... «Wall Street Journal, 七月 15»
China securities firm chief dismissed over graft allegations
Long Zenglai is the first senior executive at a securities firm to be caught up in China's ... He also used public funds to pay for rounds of golf and spent company ... «Reuters, 六月 15»
Small banks with big hiring plans in Asia
“All Chinese securities firms are getting prepared, Huatai, GF, Haitong, CITIC, ... of HR & Administration at Guotai Junan International, a Chinese securities firm. «eFinancialCareers, 六月 15»
LSE and Haitong Securities to work to bring Chinese firms to London
There are currently 57 Chinese companies listed in London, of which only eight are on ... The securities firm last month raised $4.2 billion from a group of seven ... «Reuters, 六月 15»
Banking, securities firms' IT spends to rise 15% to Rs 53600 crore
IT spends by domestic banking and securities companies may grow by 15% to Rs 53,600 crore this year and rise further on expectations of more companies ... «Daily News & Analysis, 五月 15»
BBY's voluntary administration grips other securities firms, clients
Stockbroker BBY was placed into voluntary administration on Monday morning, reverberating through the financial markets and leaving clients and its partner ... «Sydney Morning Herald, 五月 15»
SEC sues Indy securities firm for alleged Ponzi scheme
An Indianapolis securities firm has been sued by the Securities and Exchange Commission for what it said was a Ponzi-like scheme that raised $15 million in ... «Indianapolis Star, 四月 15»
China Said to Weigh Easing Curbs on Foreign Securities Ventures
Since then, China's securities firms have surged in value as the nation's economic boom pushed stock markets higher and trading volumes soared in Shanghai ... «Bloomberg, 三月 15»
China's Boom-Bust Brokers Under Threat as Banks Eye Turf
(Bloomberg) -- China's securities firms, which have been struggling to diversify beyond volatile revenues from margin lending and brokerage commissions, face ... «Bloomberg, 三月 15»
Securities Firms Amherst, Pierpont to Merge
Amherst Securities Group LP and Pierpont Securities LLC are set to merge in a deal ... Private-equity firm General Atlantic LLC also owns a stake in Pierpont. «Wall Street Journal, 七月 14»
