Sentences with phrase «financial authorities such»

In the overcrowded world of forex brokerage, many of which are either unregulated or are registered under weak regulatory bodies, the brokers that stand out are those that make the effort to obtain licenses from legitimate financial authorities such as the FCA.

Not exact matches

There's a new form of crowdfunding being led by companies such as GrowthFountain that has been made possible by changes in investment rules that the Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority (Finra) enacted in May 2016.

Investors looking to evaluate potential financial advisors can avail themselves of many lists of sample questions, such as those suggested by the Financial Industry Regulatory Authority, for interviewing practfinancial advisors can avail themselves of many lists of sample questions, such as those suggested by the Financial Industry Regulatory Authority, for interviewing practFinancial Industry Regulatory Authority, for interviewing practitioners.

China cracked down on cryptocurrencies in September 2017, with authorities banning bitcoin trading and initial coin offerings after the People's Bank of China said such activities could pose major financial risks to the world's second - largest economy.

Authorities and market participants alike therefore needed to have confidence that such arrangements would protect their interests, both for domestic financial stability and for the effective functioning of markets.

FSA Suggests Altcoin Squeeze As Forbes reports citing a meeting of the group, which consists of industry experts organized by Japan's regulator the Financial Services Authority (FSA), the anonymity options such altcoins present could be grounds to banish them from the country's burgeoning exchange sector.

With this legal definition, the regulatory authorities such as the Cyprus Securities and Exchange Commission (CySEC) is now empowered to act under the financial regulatory framework.

The Financial Industry Regulatory Authority (FINRA) also recently issued an Investor Alert cautioning investors about the risks of buying and using digital currency such as Bitcoin.

(i) persons who are licensed in the securities industry (such as a registered broker or investment adviser) with the Securities and Exchange Commission (the «SEC»), the Financial Industry Regulatory Authority («FINRA»), or the securities division of a state or an equivalent state division; and

More, we find it interesting that while there have been certain highly publicized condemnations of cryptocurrencies, such as J. P. Morgan Chase CEO Jamie Dimon's comment that Bitcoin is a «fraud,» the financial authorities in the west have done little to nothing to shut down the crypto market.

«[The] Monetary Authority of Macau reiterates that any institution providing regulated financial services such as currency exchange, cross-border fund transfer, and financial exchange platforms without permission violates relevant provisions of the Financial System Acfinancial services such as currency exchange, cross-border fund transfer, and financial exchange platforms without permission violates relevant provisions of the Financial System Acfinancial exchange platforms without permission violates relevant provisions of the Financial System AcFinancial System Act.»

To some extent, the falling prices of commodities such as iron ore and copper appeared related to attempts by Chinese authorities to rein in credit expansion, principally through stricter regulation of the financial sector and a tightening of liquidity in money markets used by banks and companies for funding.

Saxo Bank A / S is licensed by the Danish Financial Supervisory Authority and as such is subject to both Danish and EU regulations governing financial instFinancial Supervisory Authority and as such is subject to both Danish and EU regulations governing financial instfinancial institutions.

In addition, the authorities will share vital information, such as emerging market trends, developments, and regulatory issues concerning financial services innovation like virtual currencies — a technology that both countries have recognized for payment of goods and services.

Version 10 of Digital Safe, a hosted archiving service that Micro Focus gained via software assets that originally belonged to Hewlett - Packard Enterprise (HPE), has been updated to make it easier to identify data that falls under the scope of regulations such as GDPR and MiFID II, a revamp of an existing Markets in Financial Instruments Directive put in place by the European Securities and Markets Authorities.

To help us do this, we may share information with others, such as the Action Network Group's business partners, financial institutions, shipping companies, and postal or government authorities (e.g., Customs authorities) involved in fulfillment.

PSG are in big trouble with the authorities for spending money like there was no such thing as Financial Fair Play.

Rio Tinto expressly disclaims any obligation or undertaking (except as required by applicable law, the City Code on Takeovers and Mergers (the «Takeover Code»), the UK Listing Rules, the Disclosure and Transparency Rules of the Financial Services Authority and the Listing Rules of the Australian Securities Exchange) to release publicly any updates or revisions to any forward - looking statement contained herein to reflect any change in Rio Tinto's expectations with regard thereto or any change in events, conditions or circumstances on which any such statement is based.

During her press conference outside PS 13, Ms. Malliotakis unveiled her Albany reform agenda, including: Requiring a two - thirds legislative majority to pass new taxes and fees; capping the rise in spending at the rate of inflation or 2 percent, whichever is less; requiring legislators to disclose outside sources of income; requiring public authorities like the MTA to undergo an independent financial audit, and calling for a constitutional convention to address items that have bedeviled the state recently, such as appointing a lieutenant governor and breaking a Senate tie.

Such designs are at the heart of the NYCHA head's NextGeneration plan, which Mayor Bill de Blasio commissioned to deal with what he called «the worst financial crisis» in the authority's 81 - year history, and to take the entity from hundred million dollar deficits to equally large surpluses.

In a study set to take place over the course of a year, the Metropolitan Transportation Authority will look at factors such as ridership, current bus routes and the lines that were cut in 2010 at the height of the agency's financial crisis and will determine if changes can be made to benefit residents in the northeastern part of the borough.

The Investment and Finance Committee shall advise the Board of Directors regarding purchases and sales of securities for the Association, shall make recommendations to the Board of Directors on financial questions, and shall have the authority to buy or sell securities under such limitations as the Board of Directors may set.

Fourth, the article quotes the Menopause and Endocrine Societies as authorities without revealing their financial ties to the synthetic hormone makers such as Wyeth.

Through my consultancy work, I support school and local authority leaders by undertaking value for money reviews, advising on school funding reforms and statutory requirements in school and education funding, and providing training on topical issues such as the National Funding Formula, High Needs funding, budget preparation and monitoring, and reviewing school financial plans.

They are securities just like stock and as such regulated in their transactions by the Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA).

To protect brokerage firms from such losses, the Financial Industry Regulatory Authority (FINRA) requires you to maintain a margin account balance of at least 25 % of the market price of any stock you buy to hold in your account.

When asked about the latest developments regarding «toxic investment products», he committed that his institution will coordinate with the Netherlands Authority for the Financial Markets (AFM) to ban such products.

This way French authorities will be able to go around the financial regulatory framework which permits such products.

The AMF move comes just days after the European Securities and Markets Authority (ESMA) published a report on the risk of of trading in CFDs, binaries and other speculative financial instruments, such as rolling spot forex.

Financial Conduct Authority (FCA) Regulator for financial services such as payday lenders, banks, credit companies, insurance companies and mortgageFinancial Conduct Authority (FCA) Regulator for financial services such as payday lenders, banks, credit companies, insurance companies and mortgagefinancial services such as payday lenders, banks, credit companies, insurance companies and mortgage lenders.

To begin with, a financial services provider such as xCFD comes under the jurisdiction of the Financial Markets Authority (FMA) of Newfinancial services provider such as xCFD comes under the jurisdiction of the Financial Markets Authority (FMA) of NewFinancial Markets Authority (FMA) of New Zealand.

In addition the fact that they are not regulated by leading European financial regulatory bodies such as the UK's Financial Conduct Authority or the Cyprus Securities Exchange Commission tend to add more skepticism about Grand Capital relfinancial regulatory bodies such as the UK's Financial Conduct Authority or the Cyprus Securities Exchange Commission tend to add more skepticism about Grand Capital relFinancial Conduct Authority or the Cyprus Securities Exchange Commission tend to add more skepticism about Grand Capital reliability.

In his book, titled Adaptive Market, Financial Evolution at the Speed of Thought, behavioral finance authority Andrew Lo argues that market forces other than investor buying and selling behavior (based on corporate earnings profits)-- such as increased demand from retirement funds — can... Read More

Margin trading is risky business, and therefore is governed by rules set by a number of entities — the Federal Reserve Board, self - regulatory organizations (SROs) such as the New York Stock Exchange (NYSE) and Financial Industry Regulatory Authority (FINRA), and brokerage firms.

Regular brokers — for example, TD Ameritrade, Capital One Investing and Fidelity — are members of recognized organizations such as the Financial Industry Regulatory Authority (FINRA) and the Securities Investor Protection Corporation.

If the Administrator finds that the financial responsibility, experience, character and general fitness of the applicant are such as to warrant belief that the business will be operated pursuant to the Credit Services Organization Act and rules promulgated pursuant thereto, the Administrator shall grant the application and issue to the applicant a license which will evidence his authority to do business under the provisions of the Credit Services Organization Act.

No such company is licensed by the UK Financial Conduct Authority (FCA).

At the same time, our ability to make effective monetary policy and to promote financial stability depends vitally on the information, expertise and authorities we gain as bank supervisors, as demonstrated in episodes such as the 1987 stock market crash and the financial disruptions of Sept. 11, 2001, as well as by the crisis of the past two years.

New Zealand's Financial Markets Authority (FMA) has announced that businesses selling short - duration derivatives, such as binary options and contracts - for - difference (CFD), will need to be licensed in the country.

We counsel clients through investigations by a wide range of agencies and prosecution authorities, including the Serious Fraud Office (SFO), the Financial Conduct Authority (FCA), HM Revenue and Customs (HMRC), the National Crime Agency (NCA), the police and the Crown Prosecution Service (CPS), as well as overseas agencies such as the US Department of Justice (DOJ) and Securities and Exchange Commission (SEC).

The referring court asked the CJEU to consider whether personal data could be processed by authorities other than those to which it was addressed where such operations give rise retroactively to financial loss.

Lawyers at TransCanada had to tie together many operational loose ends, such as arranging the appropriate legal and financial signing authorities, and putting spending thresholds in place.

The Court noted that Article 13 (e) enables Member States to restrict (amongst others) the Article 10 right when necessary to safeguard «an important economic or financial interest of a Member State» including taxation matters, while Article 13 (f) provides such an exemption for «monitoring, inspection or regulatory function» connected with the exercise of such authority.

Our team's expertise has been developed over many years in some of the highest profile and widest ranging investigations conducted by bodies such as the Serious Fraud Office, the Department of Trade and Industry, HM Revenue & Customs and the Financial Services Authority.

This provision must be read in conjunction with Recital 6, which states that «administrative proceedings leading to sanctions such as competition, trade, tax, financial services proceedings and other investigations by administrative authorities in relation to these proceedings, and also civil proceedings are not covered by this Directive.»

You still have to consider the rest of the package, such as the accounts rules, the rules dealing with indemnity insurance and the compensation fund, and the rules regarding incidental work where the Financial Services Authority is the ultimately responsible regulator.

A Military Power of Attorney (or «Military POA») is written and signed by a service member who wants to grant certain authorities to someone such as a friend or family member to handle legal or financial matters in his or her absence.

Ms. Barnett has a record of securing results for her clients, such as winning a complete motion to dismiss in a Financial Industry Regulatory Authority (FINRA) arbitration, resolving the matter within six months.

The team represents a number of large multinational clients, as well as local authorities, and regulatory bodies such as the Financial Conduct Authority.

The nature of Financial Services Authority investigations means they can be unpredictable, and as such, those under investigation need the specialist input of firms such as Stokoe.