Sentences with phrase «services as stock brokers»

Discount brokerages, as the name implies, thrive by offering the same services as stock brokers for far less money, cutting their own commissions down to the bone to attract more business and make up the difference in volume.

Not exact matches

Shareholders» meetings: Hong Kong and overseas investors are holding SSE securities traded via Shanghai - Hong Kong Stock Connect through their brokers or custodians while HKSCC is providing them nominee services such as distribution of shareholders» meeting notices, consolidation and submission of voting instructions, etc..

While full - service stock brokers provide all kinds of research reports, Intra-day tips, quarterly or yearly results and more, discount brokers propose much lower commission as they do not provide any kinds of recommendations or tips to their customers.

Yes, you can invest in mutual funds, insurance as well as in IPOs using this full - service stock broker's services.

Due to technological advances such as broadband and the Internet, individual investors who did not have access to the same information, technical analysis, and ability to purchase stocks as full service brokers now have that opportunity.

The broker provides financial, educational and brokerage services and offers trading in forex, as well as in binary options and CFDs on stocks, gold, oil, lumber and forex instruments.

Their stocks and shares IRA for example has an ongoing charge of 0.95 % (a charge that doesn't exist with many online broker such as SVS Securities above) and additional «service fees» of up to 0.35 %.

The broker offers online trading services for spot forex and a wide range of CFDs including asset classes such as commodities, market indices, and international stocks.

Geojit is one of those rare full - service stock brokers that offer demat as well as a trading account with Zero AMC (annual maintenance charges).

Fraud, embezzlement, insider trading, computer crime, and other cases typically involve the U.S. Department of Justice, the Securities Exchange Commission (SEC) and Internal Revenue Service (IRS) enforcement divisions, investigations against professionals such as CPAs, attorneys, stock brokers, corporate officers, corporate board members, and entrepreneurs.

His financial services experience and knowledge of financial regulation from the FCA (and before that the FSA) as well as the Stock Exchange and City Code have led to his involvement in numerous claims against IFAs and stock broStock Exchange and City Code have led to his involvement in numerous claims against IFAs and stock brostock brokers.

7 DOS 00 DOS v. Flagship Marketing Group - availing of license; failure to cooperate with DOS investigation; jurisdiction; proper business practices; ex parte hearing may proceed upon proof of proper service; DOS retains jurisdiction over party not licensed at the time of the hearing where, at that time the complaint was served, the party was (i) licensed, (ii) an applicant for a license or renewal, or (iii) was eligible to automatically renew; salesperson is prohibited both from owning, directly or indirectly, singly or jointly, any shares of voting stock in and from being an officer of any licensed real estate brokerage corporation with which the salesperson is associated; representative real estate broker availed the corporate broker license to an associated salesperson where the office was operated by the salesperson without the direct supervision of the representative broker and the salesperson conducted business as a broker for his own benefit; representative real estate broker engaged in fraud by availing the corporate real estate broker license to a salesperson; representative broker's availing of corporate broker's license for which the corporate broker is vicariously liable; failure to provide business records constitutes failure to cooperate with DOS investigation; DOS fails to establish fraud, ignorance or negligence is not sufficient to prove mistake; pressure, regardless of how severe, is not undue influence; restitution denied where funds sought were received by an entity not named or charged in the complaint; corporate broker fined $ 3,000.00, representative broker's license revoked and fined $ 3,000.00 and salesperson fined $ 5,000.00