Sentences with phrase «institution issuing the product»

Specifically, the exemption requires that the advisor, the institution issuing the product and client enter into a contract that clearly commits the advisor to acting in the client's best interests, using the care, skill and prudence that would be exercised by prudent person under the circumstances (the definition that generally governs a fiduciary's duties in other contexts).

Not exact matches

«These financial instruments... are securitized financial products that could be issued by a commercial entity or an institution,» the commission said, highlighting that «there would be no debt mutualization between member states.»

In recent years mid-sized Chinese banks have devoted an increasing proportion of their balance sheets to various investment products, often issued by other financial institutions.

«Previous studies have also noted that the financial condition of the most troubled institutions is, to a large extent, a product of an inefficient expense structure, revenue challenges associated with a patient mix that approaches 90 percent public payers and charity care, and overwhelming liabilities (including debt issued long ago for physical plant improvements that, in some cases, are obsolete),» the health department said in its announcement.

Acer Computer Australia has launched its BYOD Education Project that packages guidance for schools and parents on managing the complex Bring Your Own Device issue; a fit - for - purpose product range of devices suitable for the education environment; and the availability of accredited partners to assist institutions with their technology strategies.

Among the measures of public awareness are eco-labeling of products, the dissemination of information on environmental issues in the communications vehicles and the Cleaner Production courses offered by educational institutions, which are designed to train professionals familiar with the Circular Economy [NAT.GENIUS.

Also, some financial institutions that issue credit cards will eliminate these costs if you spend certain amount of money each month (on average) with your credit card or if you combine your credit card product with a checking account and a pre-approved personal loan in a combined financial product pack or combo.

Lack of access to financial products — like credit cards, loans and deposit accounts — is an issue plaguing millions in the U.S. Traditional financial institutions, like banks and credit unions, depend on credit reports and Social Security numbers (SSNs) when evaluating applicants.

A financial product issued by a bank or other financial institution which gives you the right to buy shares (or currency, an index or a commodity) at a set price within a specified time and traded on the Australian Securities Exchange.

A financial product issued by banks and other financial institutions that lets investors buy shares (or other securities) over a period of time, making an initial payment and paying the balance later.

A warrant is a type of financial product issued by a bank or financial institution that is traded on the Australian Securities Exchange (ASX).

The following American Express Cards are not eligible for this 2X Rewards Offer: Prepaid Cards, Corporate Cards, Cards issued by other financial institutions, Blue Cash ®, Blue Cash InStore, Blue for Students ®, Cash Rebate Card, American Express ® Platinum Cash Rebate Card, Clear from American Express ®, One from American Express, Optima products, Blue Cash ® for Business, Business Cash Rebate Card, Business Gold Card, Business Green Card, Business Purchase Account ®, Executive Business Card, Platinum Business FreedomPass ® Credit Card, Platinum Business Premium Cash Rebate Card, The Plum Card ®.

Our lawyers practice before all the relevant federal and state agencies that oversee banks and other financial institutions, and handle all aspects of banking issues from M&A transactions and regulatory matters to bank charters, product development and litigation.

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

It also has excellent bank - side capabilities, advising several major financial institutions on their technological products, payments services and IT outsourcing as well as on regulatory issues.

Leading cross-border investigations for numerous financial institutions in connection with allegations of trader misconduct in relation to credit and FX products, tax related trading activity, potential insider trading and management oversight of conduct of business issues.

Just days after affirming an administrative law judge's decision to dismiss price fixing claims brought under Section 337 against numerous foreign steel companies for failing to plead «antitrust injury» (see our prior post), the U.S. International Trade Commission (ITC) has issued a notice announcing institution of another investigation involving antitrust claims (Certain Programmable Logic Controllers (PLCs), Components Thereof, and Products Containing Same, Inv.

Vantis Life provides financial institutions with a variety of simple to sell products, including simplified issue term and whole life, underwritten term life insurance, traditional permanent coverage and single premium whole life.

However, Ripple later issued a statement to media outlets making it clear that Western Union will pilot Ripple's xRapid product, which uses XRP to provide real - time liquidity and reduce the capital requirements necessary for financial institutions to operate in emerging markets.

Customer Service and Administration Duties & Responsibilities Interact with customers in a professional manner to improve the client experience, resolving queries and issues in a timely and professional fashion while making all customer needs the top priority Implement quality assurance processes to ensure administrative accuracy and promote operational efficiency Assist in the execution of needs - based client assessment to facilitate successful product / service utilization Collaborate and communicate effectively with all departments and members of company management, acting as a liaison between customers and all staff members as well as representing institutions within the community Generate referrals and consistent repeat business through effective service and timely follow - up Meet and exceed marketing and sales strategies while tracking progress versus established benchmarks Maintain a strong working knowledge of company products and services, respective marketplace, competitor strategies, industry regulations, and other pertinent information, applying all knowledge to related job functions Provide relevant guidance / leadership to new staff training efforts and coaching, consistently leading by example Oversee critical document control and management, maintaining all files in an organized manner Perform continuous assessment of client service operations while furnishing oversight and guidance regarding effective customer service and issue resolution techniques Adhere consistently to all established policies, guidelines, procedures, related laws, and other related constraints Utilize various technology applications to drive customer service and administrative processes Assist management team and senior department members with various other duties as assigned

Project Manager / Compliance Officer — Duties & Responsibilities Oversee daily operational aspects of a fast paced, high intensity financial institution Recruit, train, and direct staffs ensuring they understand the brand and adhere to company policies and procedures Manage compliance with regulatory authorities including the SEC, NYSE, and NASD Analyze financial information and present reports to external regulators and internal management Determine compliance issue severity and escalate to senior compliance officer as needed Conduct internal compliance investigations coordinating efforts between various support services Track and maintain detailed records of all compliance inquiries Direct and contribute to special company projects as needed Responsible for the «I Have a Dream Summer Intern Program» ensuring effective talent recruitment Utilize technical expertise while serving as liaison to technology department Assist with database and hardware management, software training, and computer troubleshooting Aid accounting with budgets, accounts payable / receivable, invoice payment, and vendor negotiations Interact with Board of Directors, Chief Executive Officer, and other key figures on a daily basis Partner with various company lines to assess client interests, market trends, and potential sales opportunities Develop a rapport with customers and orient them to various products and services Encourage high customer retention by maintaining friendly, supportive contact with existing clients Study internal literature to become an expert on products and services Provide administrative support including travel arrangements, scheduling, data entry, and other tasks as needed Represent company brand with poise, integrity, and positivity