Sentences with phrase «engage in securities»

Mutual funds, index funds and exchange traded funds (ETFs) often engage in securities lending.

A large number of the alerts were related to businesses located abroad that were not registered in Canada to engage in securities trading or advising.

Most, if not all life insurance companies engage in securities lending to some degree.

«That allowed banks to engage in securities and insurance activity that had been previously prohibited,» Graham said.

South Texas Money Management, Ltd. and / or its employees may engage in securities transactions in a manner inconsistent with the above.

Dealer Trading Account Profit represents profits on trading securities when a bank is engaged in securities brokerage services through its subsidiaries.

Dealer Trading Account Loss represents losses on trading securities when a bank is engaged in securities brokerage services through its subsidiaries.

The Company is engaged in securities brokerage, banking, and related financial services.

Mr. Kohli has been engaged in the securities business on a full time basis for the last fifteen years, and prior thereto on a part time basis.

Specific financial requirements for initial approval and maintenance of customer accounts that engage in security futures transactions.

RBC Capital Markets Corporation («RBC») is a global, full service securities firm engaged in securities trading and brokerage activities, and providing investment banking, investment management and financial advisory services.

Representation of Regions Bank in matter involving attempt by plaintiffs to impose securities regulatory obligations on bank account relationship with its business account - holder who allegedly engaged in securities fraud.

Following its supervisory powers, FINMA may impose a range of measures that could be regarded as collateral consequences (see question 38), for example, a temporary or permanent ban of individuals from engaging in securities trading.

Not exact matches

«It's urgent to engage in a serious, adult conversation about mutual security concerns.

«Though we will continue to prosecute the campaign against terrorists that we're engaged in today, the great power competition, not terrorism, is now the primary focus of US national security,» Mattis said in his opening statements at the Johns Hopkins School of Advanced International Studies.

«Rather than engage in endless legal battles at taxpayer expense, today I signed an executive order to dissolve the Commission, and have asked the Department of Homeland Security to review these issues and determine next courses of action,» Trump said in a statement.

In 1981, when he was acting as adviser to then New Jersey gubernatorial candidate (later Governor) Tom Kean, the RNC assembled a ballot security force consisting of off - duty law enforcement officers wearing armbands that read «National Ballot Security Task Force» that was alleged to have engaged in voter intimidation in minority neighborhoods of Newark, Camden, Paterson, and other citieIn 1981, when he was acting as adviser to then New Jersey gubernatorial candidate (later Governor) Tom Kean, the RNC assembled a ballot security force consisting of off - duty law enforcement officers wearing armbands that read «National Ballot Security Task Force» that was alleged to have engaged in voter intimidation in minority neighborhoods of Newark, Camden, Paterson, and othersecurity force consisting of off - duty law enforcement officers wearing armbands that read «National Ballot Security Task Force» that was alleged to have engaged in voter intimidation in minority neighborhoods of Newark, Camden, Paterson, and otherSecurity Task Force» that was alleged to have engaged in voter intimidation in minority neighborhoods of Newark, Camden, Paterson, and other citiein voter intimidation in minority neighborhoods of Newark, Camden, Paterson, and other citiein minority neighborhoods of Newark, Camden, Paterson, and other cities.

To qualify for disability benefits, an applicant can't be engaging in «substantial gainful activity,» which in 2016 the Social Security Administration considers to be earning more than $ 1,130 per month.

On Friday, the Ontario Securities Commission ordered the resignation of Sino - Forest executies who it said appeared to be engaging in acts they know or reasonably ought to know perpetuate a fraud.

«Platforms that engage in the activity of a national securities exchange, regardless of whether that activity involves digital assets, tokens, or coins, must register with the SEC or operate pursuant to an exemption,» Marc Berger, director of the SEC's New York Regional Office, said in a statement.

The CSA added that companies planning to engage in an ICO could stay onside of securities law by creating a prospectus and by limiting the sale to accredited investors.

«There are people who engage in magical thinking about retirement happiness, just as some engage in magical thinking about retirement security — they want it, but they take no steps to get there,» says James Pawelski, who is also the executive director of the International Positive Psychology Association.

Either way, the privacy rules were enacted on a limited basis in January, while a provision that would generally require ISPs to «engage in reasonable data security practices» in the event of security breaches was set to go into legal effect on March 2.

For example, Millennials (those under 30) want flexibility, while older Gen Xers (ages 38 to 44) are most engaged in managerial roles with job security.

Nonetheless, he may be deemed among those responsible if the SEC decides the firms engaged in the illegal sale of securities.

When advising clients, designing products and engaging in transactions, market participants and their advisers should thoughtfully consider our laws, regulations and guidance, as well as our principles - based securities law framework, which has served us well in the face of new developments for more than 80 years.

Each of High River and Barberry is primarily engaged in the business of investing in securities.

Americans for Annuity Protection has engaged in active outreach to leaders of influence to establish the argument that the DOL's fiduciary rule should be returned because of the analysis performed by the department is flawed, inconclusive and arbitrary; it is not compatible with the Uniform Security Law or established insurance law, and the law has potential conflict with the Dodd - Frank requirements to the Securities and Exchange Commission (SEC) on reviewing a uniform fiduciary standard.

During this period, the Federal Reserve tried to support employment by cutting its federal funds rate target nearly to zero; by creating a number of special liquidity facilities to support the extension of credit; and by engaging in a large scale asset purchase program, buying Treasuries, agency debt and agency mortgage - backed securities.

A CFPB spokesperson said in an email to Vox that the bureau is authorized to take «supervisory and enforcement action against certain institutions engaged in unfair, deceptive, or abusive acts or practices, or that otherwise violate federal consumer financial laws,» including the failure of institutions to engage in «reasonable data security practices» in connection with consumer report information.

The Initiative is informed by regular meetings of experts in the sector, policymakers and supporters engaged in the financial services sector, including financial intermediaries, securities market participants and their regulators, among others.

The Reporting Persons may, from time to time and at any time: (i) acquire additional Shares and / or other equity, debt, notes, instruments or other securities (collectively, «Securities») of the Issuer (or its affiliates) in the open market or otherwise; (ii) dispose of any or all of their Securities in the open market or otherwise; or (iii) engage in any hedging or similar transactions with respect to the Ssecurities (collectively, «Securities») of the Issuer (or its affiliates) in the open market or otherwise; (ii) dispose of any or all of their Securities in the open market or otherwise; or (iii) engage in any hedging or similar transactions with respect to the SSecurities») of the Issuer (or its affiliates) in the open market or otherwise; (ii) dispose of any or all of their Securities in the open market or otherwise; or (iii) engage in any hedging or similar transactions with respect to the SSecurities in the open market or otherwise; or (iii) engage in any hedging or similar transactions with respect to the SecuritiesSecurities.

Not only could we cut short - term interest rates, but we also could extend the maturity of our Treasury and agency MBS portfolio, purchase additional Treasury and agency mortgage - backed securities and engage in forward guidance with respect to the future path of short - term interest rates.

Tesla has an insider trading policy that prohibits all of our directors, officers and employees from, among other things, engaging in short sales, hedging of stock ownership positions, and transactions involving derivative securities relating to Tesla's common stock.

Each of Icahn Master and Icahn Partners is primarily engaged in the business of investing in securities.

The price of the equity securities of companies engaged in mining and the price of the mined metals may not always be closely linked.

A statement from the Securities and Futures Commission in Hong Kong offers guidelines to companies engaged in token offerings.

Similarly, our Director Code of Ethics prohibits any member of our Board from engaging in short selling or hedging transactions involving Company securities.

• John Bolton, the incoming national security adviser, has argued repeatedly that the United States should engage in cyber warfare.

The information we collect and maintain about you is provided during the course of your entering into transactions with private issuers who have engaged Genesis to provide certain services in the context of a private securities, digital currency or other financial asset transaction or trading through Genesis.

Goldman Sachs Group, Inc. engages in global investment banking, securities, and investment management, which provides financial services.

Trump would also submit legislation on currency manipulation, review whether our trading partners engage in «harmful» practices, and would order the Committee on Foreign Investment in the US to review food security in trade and reciprocity in international corporate takeovers (i.e. whether a US company would be able to buy a Chinese company like a Chinese company would be able to be buy a US company).

The shares were issued in a transaction that was exempt from the registration requirements of the Securities Act of 1933, as amended (the «Securities Act»), pursuant to Section 4 (a)(2) of the Securities Act and Regulation D promulgated thereunder inasmuch as the securities were offered and sold solely to accredited investors and the Company did not engage in any form of general solicitation or general advertising in making theSecurities Act of 1933, as amended (the «Securities Act»), pursuant to Section 4 (a)(2) of the Securities Act and Regulation D promulgated thereunder inasmuch as the securities were offered and sold solely to accredited investors and the Company did not engage in any form of general solicitation or general advertising in making theSecurities Act»), pursuant to Section 4 (a)(2) of the Securities Act and Regulation D promulgated thereunder inasmuch as the securities were offered and sold solely to accredited investors and the Company did not engage in any form of general solicitation or general advertising in making theSecurities Act and Regulation D promulgated thereunder inasmuch as the securities were offered and sold solely to accredited investors and the Company did not engage in any form of general solicitation or general advertising in making thesecurities were offered and sold solely to accredited investors and the Company did not engage in any form of general solicitation or general advertising in making the offering.

Under normal market conditions, the World Precious Minerals Fund will invest at least 80 % of its net assets in common stock, preferred stock, convertible securities, rights and warrants, and depository receipts of companies principally engaged in the exploration for, or mining and processing of, precious minerals such as gold, silver, platinum group, palladium and diamonds.

Director Mr. Shields was engaged in the practice of law from 1979 through 2006 in Ottawa, Calgary and Vancouver, specializing in corporate / commercial law, corporate finance and securities, and mergers and acquisitions.

The security official assigned to the Douglas High School in Parkland, Florida, was on campus through the entire event, armed and in uniform, but he remained outside the high school and failed to engage the gunman during the attack.

(1) engage in the «Geographic Area» (as defined below) as an employee, agent, consultant, advisor, independent contractor, proprietor, partner, officer, director, or otherwise of a Competing Business (as defined below); (2) have any ownership interest (except for passive ownership of one percent (1 %) or less in any entity whose securities have been registered under the Securities Act of 1933 or Section 12 of the Securities Exchange Act of 1934 or the securities laws of any other jurisdiction of the United States) in a Competing Business; or (3) participate in the financing, operation, management, or control of a Competingsecurities have been registered under the Securities Act of 1933 or Section 12 of the Securities Exchange Act of 1934 or the securities laws of any other jurisdiction of the United States) in a Competing Business; or (3) participate in the financing, operation, management, or control of a CompetingSecurities Act of 1933 or Section 12 of the Securities Exchange Act of 1934 or the securities laws of any other jurisdiction of the United States) in a Competing Business; or (3) participate in the financing, operation, management, or control of a CompetingSecurities Exchange Act of 1934 or the securities laws of any other jurisdiction of the United States) in a Competing Business; or (3) participate in the financing, operation, management, or control of a Competingsecurities laws of any other jurisdiction of the United States) in a Competing Business; or (3) participate in the financing, operation, management, or control of a Competing Business.

All we can ask is for our governments and security agencies is to deal with them judiciously — say, by not appointing a foreign minister with strong historical family ties to a foreign government supported by fascist sympathizers engaged in a civil war with their fellow citizens.

MIL HK is approved to engage in dealing in securities and asset management - regulated activities and may provide certain investment services to «professional investors» as defined in the Securities and Futures Ordinance («SFsecurities and asset management - regulated activities and may provide certain investment services to «professional investors» as defined in the Securities and Futures Ordinance («SFSecurities and Futures Ordinance («SFO»).

Despite the exemptive relief from dealer registration requirements provided by the securities regulators in these decisions, issuers should bear in mind that under applicable Canadian securities laws a person is only required to register as a dealer if they are engaging in or holding themselves out as engaging in the business of dealing in securities.