Sentences with phrase «from trading in securities»

55 The provisions in question are designed to disqualify from trading in securities those persons whom the Commission finds to have committed acts which call into question their business integrity.

Not exact matches

And the default rate of junk - rated «leveraged loans» - loans that are traded like securities or that are packaged into Collateralized Loan Obligations - rose to 2.6 % in Q1, up from 2.4 % in Q4.

GBTC bills itself as the first publicly traded security «solely invested in and deriving value from the price of bitcoin,» according to trust creator Grayscale.

And if the U.S. invokes the national security argument to get out of World Trade Organization rules on tariffs — rules we led the way in creating — what's to stop the rest of the world from doing the same thing?

On or about the same day, CASPERSEN transferred $ 8 million from the Fake PHG Account to his brokerage account, in order to execute trades in securities for his own benefit, largely in SPY options.

Salman was convicted of conspiracy and securities fraud charges arising from insider trading and sentenced in 2014 to three years in prison.

China is reportedly moving to avert a trade war, by speeding up the finalization of new rules that would let foreign financial groups take majority stakes in Chinese securities companies, and by offering to buy more semiconductors from the U.S. as opposed to South Korea and Taiwan.

With jurisdiction over every constituent in the securities trade, from brokers to mutual funds to accountants to corporate filers, it would seem to be the voice of Oz.

President Donald Trump's recent actions, from controversial trade tariffs to installing John Bolton as national security advisor, could hurt U.S. foreign policy goals in North Korea and Iran.

By considering all ICOs illegal rather than differentiating ones that trade in unregistered securities from ones that act more like tokens to use certain decentralized apps, China is taking a heavy - handed approach.

His colleagues, he told me, had foreseen the implosion of the housing market, but that hadn't stopped them from trading in exactly the securities they knew were making it inevitable.

The WTO allows a national security exemption from its rules, but it has never been used as a defense in a trade dispute.

From 2000 to 2007, Mr. Weintraub headed the Agency MBS business, and, in 2008, he co-headed U.S. Residential Mortgage and Asset Backed Securities Trading.

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.

Chinese - language reports in Hong Kong in March said the Securities and Futures Commission, the main stock market regulator, had requested the trading records of Meitu from local stockbrokers on three occasions since December, when it raised $ 629 million in an initial public offering.

SAN FRANCISCO The former security chief of Uber Technologies Inc. swore in a closed legal proceeding that he knew of no attempts to steal trade secrets from anyone, including Alphabet Inc's self - driving unit Waymo, and would be «shocked» if that had occurred.

These investments may have difficulty in liquidating an investment position without taking a significant discount from current market value, which can be a significant problem with certain lightly traded securities.

As financial institutions» interest in trading cryptocurrencies explodes, Andreessen Horowitz is leading a group of influential venture capitalists to protect cryptocurrencies from being classified as securities.

Appreciated securities are investments that have increased in value from the time they were purchased, and can take the form of publicly traded stock, ETFs, closely held stock, or mutual funds.

Day trading takes many different forms given the many different ways to profit from the movement of security prices, but in the end, all day traders capitalize on market inefficiencies or historical tendencies.

However, if the ordinary shares or ADSs are treated as traded on an «established securities market» and you are either a cash basis taxpayer or an accrual basis taxpayer that has made a special election (which must be applied consistently from year to year and can not be changed without the consent of the IRS), you will determine the U.S. dollar value of the amount realized in a non U.S. dollar currency by translating the amount received at the spot rate of exchange on the settlement date of the sale.

The executives» corner - cutting on compliance adds to the embarrassment and regulatory headaches for Zurich - based Credit Suisse, which has had to pay billions of dollars of fines to U.S. authorities in recent years over a wide range of allegations, including mis - selling of mortgage - backed securities, deficiencies in its anti-money-laundering program, front - running clients on foreign - exchange trades and violating U.S. sanctions by secretly funneling money from Iran through American banks.

For one, the share of securities whose 12 - month trading volume equals at least half of the number of securities outstanding has fallen from 20 % to less than 5 % in the US corporate bond market since 2007 (CGFS (2014)-RRB-.

The actual amount transferred may differ from the agreed - upon dollar amount of the transaction as a result of: the allowable delivery variance of + / - 0.01 %, in accordance with the Securities Industry and Financial Markets Association's Good Delivery Guidelines for To - Be-Announced (TBA) trading of agency MBS; periodic net settlement of purchases and sales; principal paydowns; and accrued interest.

(iii) The trade resulted from an erroneous quote in the primary market for the underlying currency pair that has a width of at least $ 10.00 or that width is at least three times greater than the average quote width for such underlying security during the time period encompassing five minutes before and after the dissemination of such quote.

Also exempted from the ban are cases when a bank underwrites a securities offering, and for trading in U.S. government, state and local bonds.

Canada is clearly in a different geopolitical situation from Australia when it comes to both economic and security relations with the US, but Canada still needs to invest in strengthening ties with Asia, starting with trade and investment, but going beyond economics to a broader overall commitment.

He has extensive experience in both bitcoin and securities trading with clientele ranging from Fortune 500 companies, hedge funds, asset managers and other financial institutions.

The new guidance also restricts companies from trading in a firm's securities if they possess non-public information regarding cyber security attacks.

In March, under the guise of acting to protect national security, Trump invoked Section 232 of the Trade Expansion Act of 1962 to impose tariffs on imported steel and aluminum from all countries.

For example, in both cases, each purchaser in the ICO is prohibited from purchasing more than $ 2,500 worth of coins (unless detailed know - your - client and suitability reviews on the purchaser are conducted) and Impak and Tokenfunder are restricted from listing and trading their coins on any cryptocurrency exchange unless prior approval is obtained from their respective provincial securities regulators.

Mr. Melby was a senior staff member on the National Security Council from 1987 to 1993, during which he participated in bilateral and multilateral trade and economic negotiations, including the North American Free Trade Agreement, the Uruguay Round, bilateral economic issues, international energy policy and export conttrade and economic negotiations, including the North American Free Trade Agreement, the Uruguay Round, bilateral economic issues, international energy policy and export contTrade Agreement, the Uruguay Round, bilateral economic issues, international energy policy and export controls.

At present, individual investors, in Hong Kong or from overseas, can only participate indirectly in the Mainland's securities markets through certain investment products such as the Qualified Foreign Institutional Investor (QFII) funds, Renminbi Qualified Foreign Institutional Investor (RQFII) funds and RQFII A-share Exchange Traded Funds (ETFs).

Designing incentives for market makers in an era dominated by «high - frequency» electronic trading is one of the crucial challenges in today's financial markets, according to the latest report from U.S. securities regulators outlining ways to prevent a repeat of the «flash crash» of May 6, 2010.

The ETFMG Alternative Harvest exchange traded fund went from essentially zero to $ 400 million in net assets within a month, Vahan Ajamian, research analyst at Beacon Securities, said in a note on Monday.

As a result, those that make markets, or buy and sell stocks tend to be more cautious in setting prices to buy and sell illiquid securities because of the difficulty of trading, and the problem of moving the market away from you with a large order.

In addition to the Market Maker license that Orobouros Derivatives Trading obtained from Cyprus Securities Exchange Commission (CySec) back in 2008, now the company also has CySec license for Portfolio Management and Investment AdvicIn addition to the Market Maker license that Orobouros Derivatives Trading obtained from Cyprus Securities Exchange Commission (CySec) back in 2008, now the company also has CySec license for Portfolio Management and Investment Advicin 2008, now the company also has CySec license for Portfolio Management and Investment Advice.

The national security is a wrinkle in a larger debate over manufacturing in America: whether the government should intervene to shelter a place like Hawesville from the winds of global trade.

Demand from retail investors - who have a significant influence over first - day trading in Hong Kong share offerings - accounted for 0.45 times the number of shares on offer in the deal, the lender said in a securities filing on Monday, underscoring weak appetite for the deal.

As truckloads of equipment arrived at the fair organised by the Defence and Security Equipment International in East London in September 2017, Quakers were among faith groups protesting against arms trade and profiting from war.

«Utopia - writing,» she argues, interacted with social experimentation and the more popular imagination to create social innovations in every sphere from the economic (the trade union movement, profit - sharing, social security, scientific management) through political (parliamentary democracy, universal suffrage) to the social (universal education, child welfare practices, women s «emancipation,» New Towns, social planning.

Although the ancient Yemenite civilization which found its stimulus in its favorable climate and trade is no more, the latent human and natural resources of the country are still there and will come to the fore when they have security from foreign invasion and can introduce modernization and democratic rule.

Consistent with the Hoover Report's recommendations that the United States had to reconsider «long - standing American concepts of fair play» and «learn to subvert, sabotage and destroy our enemies,» the shadow government built alliances between U.S. government officials, the Mafia, and international drug cartels; assassinated many thousands of civilians in Southeast Asia; carried out or attempted assassination of foreign leaders; trained death squads and secret police forces; worked to shore up unpopular dictators like the Shah of Iran and the Somoza dictatorship in prerevolutionary Nicaragua; worked to destabilize «unfriendly» governments such as Allende in Chile and the Sandinistas in Nicaragua; cooperated with the Colombian drug cartel to plot the assassination of the former U.S. ambassador to Costa Rica, Lewis Tambs, with the intention of justifying a U.S. invasion of Nicaragua by blaming his death on the Sandinistas; contracted with the Reagan administration and the National Security Council to find ways of circumventing a congressional ban prohibiting aid to the contras, including the trading of arms to Iran in exchange for hostages and money for the contras; illegally shipped weapons from the United States to the contras and allowed returning planes to use the same protected flight paths to transport drugs into the United States; 11 targeted the U.S. people for disinformation campaigns; and helped prepare contingency plans for declaring a form of martial law in the United States that would have formally suspended constitutional freedoms.

Dr. Ulrich Hoffmann from the United Nations Conference on Trade and Development (UNCTAD) will stress the importance of sustainable agriculture in mitigating food security risks, whilst Worldwatch Institute will show how innovations in agriculture can sequestrate carbon emissions.

«We are definitely seeing more interest from both institutional and private investors in dairy due to the depreciating Australian dollar, the attractive free - trade agreement and some favourable pricing,» said Darren Craike from Bell Potter Securities.

«The implication of that is that if you are holding a stock of Enterprise at the stock exchange at Ghc2 and it is now being sold at almost three, seven times so, it means that your stock on the stock exchange has been undervalued and therefore putting pressure on people to rush for Enterprise Insurance shares and for which reason Enterprise Insurance will now begin to see an increase in the price of their share, not reflected by the fundamentals of the performance of the economy but by a manipulated process outside of the trading regime without clearance from the Securities and Exchanges Commission.

This is in fact what has happened, in a speech by Johnson at Chatham House, where apart from reference to employment and social rights and how these must be preserved it was largely about our national interest in the form of the economy, investment, security and trade and how these would be threatened by leaving.

a) the value of any imported goods; b) the value of any imported services, including management services; c) any amounts remitted out of Zambia whether unrequited (gratuitous) or otherwise; d) the amounts, if any, deposited abroad but generated by a person resident in Zambia from the supply of goods produced or services rendered in Zambia; e) loans granted to non-residents; f) trade credits from non-residents; g) investments made in the form of equity outside Zambia by persons resident in Zambia; and h) investments made in the form of debt securities outside Zambia by persons resident in Zambia.

a) the value of any goods or services exported out of Zambia; b) profits or dividends received in respect of investments abroad; c) borrowings from non-residents; d) trade credits to non-residents; e) investments in the form of equity from abroad; f) investments in the form of debt securities from abroad; and g) receipts of both principal and interest on loans to non-residents.

His other major financial - crime victories include snaring a record $ 1.2 billion penalty from Steven Cohen's firm, SAC Capital Advisors, which pleaded guilty to insider - trading violations in November 2013; and nailing technology - research analyst John Kinnucan, who pleaded guilty to securities - fraud charges in July 2012.