Sentences with phrase «distribution of financial products»

Such regulatory issues include those arising from the distribution of financial products and services (including on a cross border basis), the regulation of agents and representatives and the conflicts which arise from competing regulatory regimes and common law / civil law principles.

For the purposes of an ethics inquiry against a claims adjuster employed by the Respondent, the syndic of the Chambre de l'assurance de dommages, requested documents concerning the claims adjuster from the Respondent under s. 337 of the Act respecting the distribution of financial products and services.

In a unanimous decision in Lizotte v. Aviva 2015 QCCA 152, the Quebec appeal court found that the provincial legislature made no provision under the Quebec Act respecting the distribution of financial products and services allowing for solicitor - client privilege or litigation privilege to be set aside.

In the province of Québec, Québec's securities regulator, the Autorité des marchés financiers (AMF), administers a compensation fund (the Fonds d'indemnisation des services financiers) which can compensate victims for losses resulting from fraud where the fraud is committed during the distribution of financial products or services.

He started his career in 1993 at Credit Suisse dealing with the management and the distribution of financial products.

Not exact matches

Solely for the purposes of the product governance requirements contained within: (a) EU Directive 2014 / 65 / EU on markets in financial instruments, as amended, or MiFID II; (b) Articles 9 and 10 of Commission Delegated Directive (EU) 2017/593 supplementing MiFID II; and (c) local implementing measures, together, the MiFID II Product Governance Requirements, and disclaiming all and any liability, whether arising in tort, contract or otherwise, which any «manufacturer» (for the purposes of the MiFID II Product Governance Requirements) may otherwise have with respect thereto, the ADSs and ordinary shares have been subject to a product approval process, which has determined that such securities are: (i) compatible with an end target market of retail investors and investors who meet the criteria of professional clients and eligible counterparties, each as defined in MiFID II; and (ii) eligible for distribution through all distribution channels as are permitted by MiFID II, or the Target Market Asseproduct governance requirements contained within: (a) EU Directive 2014 / 65 / EU on markets in financial instruments, as amended, or MiFID II; (b) Articles 9 and 10 of Commission Delegated Directive (EU) 2017/593 supplementing MiFID II; and (c) local implementing measures, together, the MiFID II Product Governance Requirements, and disclaiming all and any liability, whether arising in tort, contract or otherwise, which any «manufacturer» (for the purposes of the MiFID II Product Governance Requirements) may otherwise have with respect thereto, the ADSs and ordinary shares have been subject to a product approval process, which has determined that such securities are: (i) compatible with an end target market of retail investors and investors who meet the criteria of professional clients and eligible counterparties, each as defined in MiFID II; and (ii) eligible for distribution through all distribution channels as are permitted by MiFID II, or the Target Market AsseProduct Governance Requirements, and disclaiming all and any liability, whether arising in tort, contract or otherwise, which any «manufacturer» (for the purposes of the MiFID II Product Governance Requirements) may otherwise have with respect thereto, the ADSs and ordinary shares have been subject to a product approval process, which has determined that such securities are: (i) compatible with an end target market of retail investors and investors who meet the criteria of professional clients and eligible counterparties, each as defined in MiFID II; and (ii) eligible for distribution through all distribution channels as are permitted by MiFID II, or the Target Market AsseProduct Governance Requirements) may otherwise have with respect thereto, the ADSs and ordinary shares have been subject to a product approval process, which has determined that such securities are: (i) compatible with an end target market of retail investors and investors who meet the criteria of professional clients and eligible counterparties, each as defined in MiFID II; and (ii) eligible for distribution through all distribution channels as are permitted by MiFID II, or the Target Market Asseproduct approval process, which has determined that such securities are: (i) compatible with an end target market of retail investors and investors who meet the criteria of professional clients and eligible counterparties, each as defined in MiFID II; and (ii) eligible for distribution through all distribution channels as are permitted by MiFID II, or the Target Market Assessment.

The November 15th program will include cutting - edge discussions such as: how non-exchange traded alternatives are becoming the mutual funds of yesteryear; what is driving retail's demand for non-exchange traded alternatives; using micro-investing technology to diversify across and within online marketplaces; how legislation is being used to engineer a new breed of alternative products; how innovations in self - directed IRAs will create new retail distribution channels for the entire alternative product universe; how technology will ensure the scalability of online platforms and enable traditional financial services providers to increase AUM; how millennials will fuel the growth of FinTech and redefine financial services; how FinTech will replace the 401k and transform the way Americans save for retirement; and how modernizing the Self - directed IRA is the trillion dollar FinTech opportunity.

Fidelity Brokerage Services and National Financial Services LLC receive a selling concession from the offering broker for their distribution of structured products.

There should be no surprise when advocates of various types of financial products are involved in a turf war over who is going to control and regulate industry distribution of various sorts.

Security regulators are sending out signals that they intend to step up review of distribution of complex financial products, such as variable annuities and equity - linked instruments...

Literary Agent Undercover is only for authors who understand the benefits of traditional publishing: no financial risk because someone else is paying for the privilege of publishing your book; a higher quality product thanks to a top - notch editor and cover designer; more profit due to better sales, distribution, and publicity; subsidiary rights opportunities like merchandising, translations, TV, feature film, etc; increased credibility and more book reviews; and the ability to spend more time writing, promoting, and doing what you love.

I've learned there is a financial benefit to placing your product where there is a lot of interested buyers, however, I don't think it is good business to rely only on one platform for marketing or product distribution.

Such statements reflect the current views of Barnes & Noble with respect to future events, the outcome of which is subject to certain risks, including, among others, the general economic environment and consumer spending patterns, decreased consumer demand for Barnes & Noble's products, low growth or declining sales and net income due to various factors, possible disruptions in Barnes & Noble's computer systems, telephone systems or supply chain, possible risks associated with data privacy, information security and intellectual property, possible work stoppages or increases in labor costs, possible increases in shipping rates or interruptions in shipping service, effects of competition, possible risks that inventory in channels of distribution may be larger than able to be sold, possible risks associated with changes in the strategic direction of the device business, including possible reduction in sales of content, accessories and other merchandise and other adverse financial impacts, possible risk that component parts will be rendered obsolete or otherwise not be able to be effectively utilized in devices to be sold, possible risk that financial and operational forecasts and projections are not achieved, possible risk that returns from consumers or channels of distribution may be greater than estimated, the risk that digital sales growth is less than expectations and the risk that it does not exceed the rate of investment spend, higher - than - anticipated store closing or relocation costs, higher interest rates, the performance of Barnes & Noble's online, digital and other initiatives, the success of Barnes & Noble's strategic investments, unanticipated increases in merchandise, component or occupancy costs, unanticipated adverse litigation results or effects, product and component shortages, the potential adverse impact on the Company's businesses resulting from the Company's prior reviews of strategic alternatives and the potential separation of the Company's businesses, the risk that the transactions with Microsoft and Pearson do not achieve the expected benefits for the parties or impose costs on the Company in excess of what the Company anticipates, including the risk that NOOK Media's applications are not commercially successful or that the expected distribution of those applications is not achieved, risks associated with the international expansion contemplated by the relationship with Microsoft, including that it is not successful or is delayed, the risk that NOOK Media is not able to perform its obligations under the Microsoft and Pearson commercial agreements and the consequences thereof, risks associated with the restatement contained in, the delayed filing of, and the material weakness in internal controls described in Barnes & Noble's Annual Report on Form 10 - K for the fiscal year ended April 27, 2013, risks associated with the SEC investigation disclosed in the quarterly report on Form 10 - Q for the fiscal quarter ended October 26, 2013, risks associated with the ongoing efforts to rationalize the NOOK business and the expected costs and benefits of such efforts and associated risks and other factors which may be outside of Barnes & Noble's control, including those factors discussed in detail in Item 1A, «Risk Factors,» in Barnes & Noble's Annual Report on Form 10 - K for the fiscal year ended April 27, 2013, and in Barnes & Noble's other filings made hereafter from time to time with the SEC.

Such statements reflect the current views of Barnes & Noble with respect to future events, the outcome of which is subject to certain risks, including, among others, the effect of the proposed separation of NOOK Media, the general economic environment and consumer spending patterns, decreased consumer demand for Barnes & Noble's products, low growth or declining sales and net income due to various factors, possible disruptions in Barnes & Noble's computer systems, telephone systems or supply chain, possible risks associated with data privacy, information security and intellectual property, possible work stoppages or increases in labor costs, possible increases in shipping rates or interruptions in shipping service, effects of competition, possible risks that inventory in channels of distribution may be larger than able to be sold, possible risks associated with changes in the strategic direction of the device business, including possible reduction in sales of content, accessories and other merchandise and other adverse financial impacts, possible risk that component parts will be rendered obsolete or otherwise not be able to be effectively utilized in devices to be sold, possible risk that financial and operational forecasts and projections are not achieved, possible risk that returns from consumers or channels of distribution may be greater than estimated, the risk that digital sales growth is less than expectations and the risk that it does not exceed the rate of investment spend, higher - than - anticipated store closing or relocation costs, higher interest rates, the performance of Barnes & Noble's online, digital and other initiatives, the success of Barnes & Noble's strategic investments, unanticipated increases in merchandise, component or occupancy costs, unanticipated adverse litigation results or effects, product and component shortages, risks associated with the commercial agreement with Samsung, the potential adverse impact on the Company's businesses resulting from the Company's prior reviews of strategic alternatives and the potential separation of the Company's businesses (including with respect to the timing of the completion thereof), the risk that the transactions with Pearson and Samsung do not achieve the expected benefits for the parties or impose costs on the Company in excess of what the Company anticipates, including the risk that NOOK Media's applications are not commercially successful or that the expected distribution of those applications is not achieved, risks associated with the international expansion previously undertaken, including any risks associated with a reduction of international operations following termination of the Microsoft commercial agreement, the risk that NOOK Media is not able to perform its obligations under the Pearson and Samsung commercial agreements and the consequences thereof, the risks associated with the termination of Microsoft commercial agreement, including potential customer losses, risks associated with the restatement contained in, the delayed filing of, and the material weakness in internal controls described in Barnes & Noble's Annual Report on Form 10 - K for the fiscal year ended April 27, 2013, risks associated with the SEC investigation disclosed in the quarterly report on Form 10 - Q for the fiscal quarter ended October 26, 2013, risks associated with the ongoing efforts to rationalize the NOOK business and the expected costs and benefits of such efforts and associated risks and other factors which may be outside of Barnes & Noble's control, including those factors discussed in detail in Item 1A, «Risk Factors,» in Barnes & Noble's Annual Report on Form 10 - K for the fiscal year ended May 3, 2014, and in Barnes & Noble's other filings made hereafter from time to time with the SEC.

Farmers, ranchers and other food growers along with food producers, petroleum companies who either drill for oil or natural gas or refine these products - or both, financial institutions with enormous holdings in treasuries, equities or currencies, mining interests and their buyers - all these areas of production and distribution employ futures trading spreads from time to time as an important aspect of their businesses.

Bollinger points out that Wells Fargo can survive the flap in the long run because it has diversified revenue sources, market share in key financial products, a large national distribution network and a cheap base of deposits.

Use and distribution of the LSE Group index data and the use of their data to create financial products require a licence from FTSE, Russell, FTSE TMX, MTSNext and / or their respective licensors.

These payments or discounts are separate from, and may be in addition to, any shareholder service fees or other administrative fees the funds may pay to those intermediaries The investment adviser or its affiliates may also make cash payments out of their own resources, or provide products and services at a discount, to certain financial intermediaries that perform distribution, marketing, promotional or other distribution - related services.

These payments or discounts are separate from, and may be in addition to, any shareholder service fees or other administrative fees the fund may pay to those intermediaries The investment adviser or its affiliates may also make cash payments out of their own resources, or provide products and services at a discount, to certain financial intermediaries that perform distribution, marketing, promotional or other distribution - related services.

India Infoline Group (hereinafter referred as IIFL) is engaged in diversified financial services business including equity broking, DP services, merchant banking, portfolio management services, distribution of Mutual Fund, insurance products and other investment products and also loans and finance business.

«I think that when you are building a game for a retail business model that definitely puts certain financial restriction or financial boundaries on the product because you've got to build a certain amount of inventory, you have to have physical distribution of your software to the retailer, all of which is very expensive.

capital markets are rapidly evolving and include increasingly complex financial products and methods of distribution and trading;

He also counsels other financial institutions — banks and insurance companies — on securities issues associated with the management and distribution of investment products.

Deal Attorney http://dealattorney.blogspot.com Law blog («blawg») of Pittsburgh business, technology and transactions attorney, Anthony Cerminaro, focused on domestic and international commercial and financial transactions such as mergers and acquisitions, venture capital, intellectual property licensing, product distribution, strategic partnerships and joint ventures

Written by local experts in key jurisdictions, topics covered include: regulations governing direct distribution; potential restrictions, financial and tax considerations on foreign businesses» operations; distribution structures available to suppliers; regulation of relationships between suppliers and distributors; restrictions on the distribution of competing products; relevant consumer protection laws; restrictions on contractual choice of law, courts or arbitration tribunals; and dispute resolution, mediation and arbitration procedures and processes.

His work in the financial industry includes drafting of contracts and documentation for offering of banking, financial, insurance and investments products, as well as auditing of internal organizational policies and procedures, partnership, distribution, and outsourcing agreements.

Protective Life Corporation provides financial services through the production, distribution and administration of insurance and investment products throughout the U.S..

Bajaj Capital, a leading financial services company which is the parent company of Bajaj Allianz Insurance Company, plans to sell its stakes upto 26 per cent so as to raise funds for achieving growth in the financial products distribution undertaking, as disclosed by the company's official spokesperson.

(East Hartford, CT)-- April 5, 2006 — PFIC Corporation, a specialist in the distribution of insurance and investment products through financial institutions, has selected Vantis Life Insurance Company to provide life insurance and annuity services to its more than 100 financial institution clients.

Protective Life Insurance is a holding company whose subsidiaries provide financial services and insurance services through the production, distribution, and administration of a diverse array of insurance and investment products.

Vivek comes with over 16 years of professional experience in Sales & distribution, Business & Product Development across financial services.

Together these institutions have more than 300 years of experience in providing financial services and the products they have launched are designed keeping in mind their customer base, banking needs and distribution strengths.

PROFESSIONAL SUMMARY * Senior executive with a strong record of achievement in generating revenue growth and financial results that consistently exceed industry standards in diverse markets such as private equity, healthcare, medical / surgical products and distribution as well as information technology and consumer services.

Service, delivery, English, Finance, financial management, General Office, HR, inventory... pricing, sales, and distribution of products & services.

Spa Director — Duties & Responsibilities Lead through example with consistent work ethic, attitude, and professionalism, executing spa and salon administration functions, overseeing sales and marketing operations, and implementing cutting - edge industry techniques and trends Collaborate in all phases of strategic planning with other members of management team, including product inventory control, marketing and sales strategies, product and service offerings, client service, event coordination, and area competition Provide continuous assessment of key markets, potential customers, and capital utilization, while furnishing oversight and guidance regarding policies and procedures, budgets and financial forecasts, and client experience considerations Perform needs - based and situational assessments of policies and procedures to improve operational efficiency, manage and reduce costs, promote both employee and client satisfaction, and deliver a luxurious experience to high - profile clientele Identify and utilize talent among team members with focused training efforts, targeted professional recruitment, continued supervision of 40 staff, and the promotion of a performance - based environment leveraging individual talents for group benefit Develop and supervise support staff to aid in effective sales, marketing, and service operations, delegating important tasks and assignments while providing timely follow - up to ensure task completion, including newsletter and article distribution Ensure effective execution of all administrative, HR, and financial aspects of business management, while analyzing and presenting important information to executive staff, stakeholders, and other relevant parties Address key client and management queries and resolve them in an expedited manner, promoting sustained revenue growth through client retention, referral generation, and the leveraging of cross-sales opportunities Create and implement firm marketing and sales strategies while tracking performance versus internal and external benchmarks, focusing on both revenue generation as well as cost control Maintain a strong working knowledge of products, services, techniques, and relevant tools, while committing to continued advanced technical education with respect to complex spa, salon, and fitness concepts and studies Act as a liaison between clients, vendors, sales and support staff, and other management partners to facilitate information flow and drive operational efficiency

International Business Manager & Consultant — Duties & Responsibilities Serve as international business development consultant for a network of global clients Facilitate and coach projects in relationship development, marketing, and financial management Utilize significant international business experience and education to offer executive level training Manage global advertising initiatives for clients such as Intel and Nokia Establish and manage a children's developmental toy production company with sales in 40 + countries Responsible for strategic planning, business plan, marketing / sales initiatives, and client development Oversee financial operations including company budgets, sales projects, P&L statements, etc.. Recruit, train, and direct sales, customer service, and management staff ensuring profitable operations Direct product development, pricing, distribution, and branding over varied product lines Oversee import, export, warehousing, and inventory operations ensuring efficient logistical operations Lead financial growth to $ 14 million in annual revenue with clients such as Toys R Us, Target, and Amazon

International Business Manager & Consultant — Duties & Responsibilities Serve as international business development consultant for a network of global clients Facilitate and coach projects in relationship development, marketing, and financial management Utilize significant international business experience and education to offer executive level training Manage global advertising initiatives for clients such as Intel and Nokia Establish and manage a children's developmental toy production company with sales in 40 + countries Responsible for strategic planning, business plan, marketing / sales initiatives, and client development Oversee financial operations including company budgets, sales projects, P&L statements, etc.. Recruit, train, and direct sales, customer service, and management staff ensuring profitable operations Direct product development, pricing, distribution, and branding over varied product lines Oversee import, export, warehousing, and inventory operations ensuring efficient logistical operations Lead financial growth to $ 14 million in annual revenue with clients such as Toys R Us, Target, and Amazon Graduate of a Forbes Magazine «Top 20 Schools for International Business»

ING US Financial Services (Atlanta, GA) 5/2006 — 2/2009 Six Sigma Black Belt • Responsible for identifying, defining, and implementing continuous improvement (Six Sigma) projects • Communicated quality management tools and methodologies to project teams • Established and directed process improvement group reporting process • Cut annual process budget by 20 % by reducing testing / production errors through process standardization • Saved $ 350K of annual business contract production costs through vendor consolidation and elimination of manual product assembly • Identified $ 2 million in potential annual savings by developing a check processing distribution strategy • Reduced annual expenses by $ 1.7 million through cost avoidance by optimal vendor selection processes • Minimized business risk and legal mitigations by tracking / confirming contract delivery to clients and standardizing marketing forms practices and control measures • Mentored Green Belts and team members on their roles and responsibilities

Professional Duties & Responsibilities Directed sales and purchasing activities for industrial mining and automotive supply companies Managed junior team members and administrative staff ensuring effective operations Researched products and companies to deliver highest quality items at the lowest price Handled negotiations with supply and distribution partners Consistently exceeded monthly sales goals of $ 300,000 and annual goal of $ 3.7 million Authored and presented reports regarding sales, purchasing, and company financial health Created and implemented comprehensive marketing / advertising campaigns and collateral materials Set and implemented monthly and annual budgets for companies and departments Designed and launched corporate promotional and informational events Built and strengthened relationships with key industry figures, clients, and community leaders Generated significant new business through networking, cold calling, and other tactics Provided exceptional customer support resulting in repeat business and referrals