Sentences with phrase «broker dealer operations»

Organized and led day - to - day activities of 2 - 3 staff auditors for operational audit engagements and Sarbanes - Oxley (SOX) compliance engagements of major internal product groups that included compensation, annuities, and broker dealer operations.

Not exact matches

Even though it is considered a bank, the vast majority of the risk in the GS business is institutional and is contained in the non-bank broker - dealer operations.

Profits in the broker / dealer operations, meanwhile, failed to exceed $ 13.5 billion in 2011, less than half of $ 27.6 billion that was reported in 2010.

Profits from the broker - dealer operations of NYSE member firms (which is what it uses to measure the securities industry's health) rose 42 percent, to $ 24.5 billion, the most since 2010.

I work in fund operations at a major broker dealer and I see daily transactions.

These included a credit facility for «primary dealers,» the broker - dealers that serve as counterparties for the Fed's open market operations, as well as lending programs designed to provide liquidity to money market mutual funds and the commercial paper market.

Sell puppies or adults through third parties, including but not limited to: online brokers, newspapers, auctions, pet shops, catalog houses, laboratories, dog - fighting operations, or any wholesale dealer in dogs (a dealer being a person who regularly buys dogs for re-sale at a profit), or to any person who sells to any of the above.

Whether he is placing multimillion - dollar bids at auction for publishing magnate S.I. Newhouse or record industry mogul David Geffen; brokering a $ 40 - million deal to buy 50 Abstract Expressionist and Pop art works given to Richard Weisman by his parents, the late Los Angeles collectors Frederick and Marcia Weisman; joining forces in a joint gallery operation with Leo Castelli, the dean of New York contemporary art dealers; staging museum - quality historical exhibitions; luring hot artists such as Salle, Philip Taaffe and Chris Burden to his stable or simply hiring staff, Gagosian is in the news.

Our financial regulatory advice to financial institutions has spanned a wide range of subjects, including the chartering of new banking institutions and their subsidiaries; charter conversions; conversions to BHC; FHC elections; the expansion of regulated banking and non-banking activities through acquisitions and de novo expansion; broker - dealer registration and material changes in business operations; the treatment of new financial products under regulatory capital requirements; and legal risks in cross-border payment and securities settlement systems.

Representation of broker - dealer operations professionals in connection with an SEC «soft dollar» investigation

Drafted and negotiated IT outsourcing agreement on behalf of major broker - dealer regarding the development, operation and maintenance of company's enterprise remote access solution to enable company's employees and customers to securely access critical applications, mainframes and databases from any remote location.

New India Assurance also performs its operation through B2B marketing channels such as bank assurance, MFI & NGOs, motor vehicle dealers and manufacturers and Common Service Centers & also through affinity programs with brokers and corporate.

Updated: Advanced Equities, the Chicago investment group that has raised hundreds of millions of dollars for cleantech startups in recent years, is shutting down its broker - dealer operations, reports Fortune's Dan Primack.

Coordinate with compliance associates and legal team in monitoring compliance matters including broker - dealer compliance, operations issues, and securities transactions

• Serve as primary operations contact for clients, primary liaison with broker - dealer and investment companies for all operational and compliance issues

Results - focused professional with over 15 years of experience directing day - to - day operations, managing personal book of business and working with institutional and retail high net - worth money managers independent broker dealer, CFP's and stock brokers.

Experienced broker dealer manager with over 20 years in risk, compliance, operations and supervision.

RCS, which operates broker - dealers, said it engages in talks with regulators and state securities administrators as part of its regular operations.