Sentences with phrase «authority over a customer»

Commodity Trading Advisor (CTA): Commodity futures asset manager providing advice includes exercising trading authority over a customer's account.

Advising indirectly includes exercising trading authority over a customer's account as well as providing recommendations through written publications or other media.

Providing advice includes exercising trading authority over a customer's account.

Not exact matches

He said another Briton had «full authority» over him, which the Briton denied, saying he had no involvement in EuroFX but was helping some Asian customers for an Australian.

If the FDIC had authority over insolvent non-bank financials and bank holding companies, it could wipe out equity and an appropriate amount of bondholder capital, and sell the fully - functioning residual to an acquirer, as is typically done with failing banks, without any loss to depositors or customers.

The European Securities and Markets Authority (Esma) said it may intervene in the retail markets of contract for difference (CFDs), binary options and rolling spot FX to address concerns over customer protection.

It's up to the customers of these services to complain to advertising and consumer protection authorities and demand an action to protect unsuspecting consumers (PPL sites claim over a million male users).

If an FCM or IB Member introduces the customer's account or a CTA Member exercises discretionary trading authority over the account, then the Member acting as the counterparty to the customer must notify that FCM, IB or CTA Member of the changes to the customer's information.

The debate has raged over differing interpretations of «lawful authority», and there are conflicting decisions from the Courts over whether internet service providers can disclose customer name and address information to the police in response to a request.

Currently, section 7 (3)(c. 1) of PIPEDA arguably operates as a blocking statute preventing organizations from voluntarily handing over customer information in situation where police have failed to demonstrate their «lawful authority» to request it.

Despite the FSC raising concerns over increasing the investor protection with the higher enthusiasm of people now entering the crypto market, local financial authorities are attempting to authorize domestic ICOs by enabling strict Know Your Customer (KYC) and Anti-Money Laundering (AML) systems, as well as a taxation policy for investors.

The FSC believes that the cut in the regulations on cryptocurrencies by the authorities may lead to more jobs as well as lower service charges, giving examples of fintech business improvements like offering customers the opportunity to buy investments over video chat and using crowdfunding for small businesses.

The CFTC says it has received complaints from customers who have lost money to pump - and - dump schemes, and the CFTC maintains general anti-fraud and manipulation enforcement authority over virtual currency cash markets as a commodity in interstate commerce.

Still, despite the concerns over investor protection by the FSC, several sources within the government told The Korea Times that local financial authorities are attempting to authorize domestic ICOs by enabling strict Know Your Customer (KYC) and Anti-Money Laundering (AML) systems, as well as a taxation policy for investors.

Claims Management Duties & Responsibilities Utilize efficient workflow organization to improve departmental efficiencies while ensuring effective client response and diligent analysis of claims, with extensive experience in both commercial and personal lines Provide relevant administration and direction to multi-million dollar staff budgets, quality control, fraud investigations, and complex claims reviews, earning denial authority over high - level claims cases Identify and develop talent among team members with focused training efforts, performance reporting and analyses, and operational efficiency initiatives Deliver continuous assessment of work force, while furnishing oversight and guidance regarding effective service strategies and techniques, loss liability monitoring, and claim litigation assistance Develop and implement the marketing and sales efforts of customer service team while tracking progress versus established internal and external benchmarks, providing disciplinary actions when necessary Construct customer service and claims team through effective staff hiring to aid in efficient operations and execution, delegating important tasks / assigments to line supervisors while providing branch - level guidance Aid in strategic planning and capital budgeting based on improving operating efficiency and reducing service - related production losses, collaborating effectively with senior - level management Maintain a strong working knowledge of important industry topics, company programs and policies, and overall regulatory environment, including state - level responsibility for process changes in casualty / PIP Address important client and staff queries, resolving them in an expedited manner Lead through example with consistent work ethic, attitude and professionalism