Sentences with phrase «trading authority over»

Often, alternative investment fund and account managers have total trading authority over their funds or accounts; the use of a single advisor applying generally similar trading programs could mean lack of diversification and, consequently, higher risk.

You never transfer money to us - you simply grant us trading authority over your accounts.

If an FCM or IB Member introduces the customer's account or a CTA Member exercises discretionary trading authority over the account, then the Member acting as the counterparty to the customer must notify that FCM, IB or CTA Member of the changes to the customer's information.

Providing advice includes exercising trading authority over a customer's account.

Advising indirectly includes exercising trading authority over a customer's account as well as providing recommendations through written publications or other media.

Commodity Trading Advisor (CTA): Commodity futures asset manager providing advice includes exercising trading authority over a customer's account.

Assets Under Advisement represent advisory - only assets where the firm provides a model portfolio and does not have trading authority over the assets.

Not exact matches

Currently, no federal regulator has direct authority over the cadre of exchanges that trade cryptocurrencies in the spot market.

Quintenz said the SEC takes action against unregistered ICOs, while the CFTC has authority over spot trading.

New York, Dec 11 - U.S. stocks edged higher in intraday trading on Monday after worries receded over an explosion in New York's busy Port Authority commuter hub, while stocks rose around the world on continued solid global economic growth indicators.

The company also argues that Qualcomm withheld nearly $ 1 billion in payments when Apple cooperated with South Korean authorities as it investigated the company's unfair trade practices — precisely what the U.S. and Apple are going to court over now.

The SEC, the top securities regulator in the United States, has little authority over privately held companies, which unlike publicly traded companies do not have to register or file financial information with the agency regularly.

The settlements over the trading loss in London — reached with the Securities and Exchange Commission, the Office of the Comptroller of the Currency, the Federal Reserve and the Financial Conduct Authority in London — laid bare a pattern of «deficiencies» in JPMorgan's oversight.

Congress has formal authority over trade policy under the US Constitution, but it has generally delegated much of its authority to the executive branch in modern times.

For example, the Financial Industry Regulatory Authority has a website where you can search over 18,000 mutual funds and exchange - traded funds.

We remain in close contact with Japan's Ministry of Economy, Trade, and Industry, which has regulatory authority over payments issues, among other areas.

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.

The only big - ticket sale over the past few years has been the $ 135.5 million Perth Market Authority, which manages a central wholesale trading and distribution hub for fruit and vegetables.

Poring over internal e-mails and phone recordings that shine a light on how the employees valued the trades, authorities came to believe that Mr. Martin - Artajo directed Mr. Grout to falsify internal records.

Vietnamese authorities have submitted a complaint with the World Trade Organization (WTO) to request formal consultations with Washington over its recently announced 30 % tariff on crystalline silicon PV imports.

During a meeting with Taiwan's legislative arm Monday, central bank governor Yang Chin - long was questioned over how the banking authority would address the current «opacity» in bitcoin trading in the country, as highlighted by the -LSB-...]

On March 6, 2018, Judge Jack B. Weinstein of the U.S. District Court for the Eastern District of New York ruled that virtual currencies are commodities under the Commodity Exchange Act (CEA) and therefore subject to the Commodity Futures Trading Commission's (CFTC) anti-fraud and anti-manipulation enforcement authority.1 Granting the CFTC's request for a preliminary injunction against the defendants who allegedly engaged in deception and fraud involving virtual currency spot markets, Judge Weinstein noted that «[u] ntil Congress clarifies the matter,» the CFTC has «concurrent authority» along with other state and federal administrative agencies and civil and criminal courts over transactions in virtual currency.2

CFTC spokeswoman Erica Elliott Richardson said that Giancarlo has been «clear that market participants should take note that the relatively nascent underlying cash markets and exchanges for bitcoin remain largely unregulated markets over which the CFTC has limited statutory authority, and that investors should be aware of the potentially high level of volatility and risk in trading these contracts.»

«Unfortunately, after eight months of negotiations in which the demands of the Orthodox Church continued to increase over and above what was originally agreed to in 2008, the Port Authority had to make a practical decision to move on or risk further delaying the entire World Trade Center project, which was a completely unacceptable alternative.

Related on Organic Authority General Mills and Organic Valley are Increasing U.S. Organic Dairy Production Thousands of Farmers and Consumers Demanding USDA Organic Program Overhaul Mass Exodus Expected from Leading Organic Trade Group Over Controversial GMO Legislation

Shares of Bagger Dave's will trade on the Over the Counter (OTC) market place once clearance is received by Financial Industry Regulatory Authority (FINRA) for Spartan Securities to make a market in the stock.

Lawsuit over 1 W.T.C. antennae settled One World Trade Center is back on track to becoming the tallest building in the Western Hemisphere, as the Port Authority of New York and New Jersey has settled its feud with A.D.F. Steel Corporation to get the steel needed to complete the 400 - foot antenna.

Cuomo has jumped into the controversy over the Port Authority's quiet 1986 deal to sell the rights to the World Trade Center name for $ 10 to a non-profit organization, asking the state attorney general to investigate the arrangement.

A dispute over financing between the Port Authority and the September 11 Memorial & Museum at the World Trade Center Foundation has ground the project to a virtual standstill.

BY TERESE LOEB KREUZER When Christopher O. Ward became executive director of the Port Authority of New York and New Jersey in May 2008, the buildings at the World Trade Center site under the Port Authority's jurisdiction were years behind schedule and billions of dollars over budget.

The AFL - CIO on Tuesday announced a six - figure ad campaign against Long Island Rep. Kathleen Rice over her support for backing fast - track authority for the Trans - Pacific Free Trade Agreement.

Over the course of an hour - long debate at the Woodstock Playhouse Monday, October 24, Congressional candidates Democrat Zephyr Teachout and Republican John Faso answered moderators» questions on trade, executive authority, the battle against ISIS and other issues, all while circling back to core campaign themes.

New NYPD commissioner Bill Bratton went to the Port Authority for his first meeting with PA officials to start a new dialogue with counterparts there over the direction of security at the World Trade Center and other state facilities in the Big Apple, officials said.

While the fight against the TPP is far from over, the outspoken opposition to fast - track authority from both House and Senate Democratic leaders further marginalizes the handful of corporate Democrats who support this job - killing trade agreement.

World Trade Center developer Larry Silverstein told the Port Authority of New York and New Jersey yesterday that he would proceed with binding arbitration in the dispute over the financing of Silverstein's proposed office towers.

The LMDC expects the job to be entirely done within the next couple weeks, so the site can be turned over to the Port Authority to build the underground vehicle security center and parking garage for the World Trade Center site.

The outreach comes at a time of strained relations between the administration of President Donald Trump and Mexican authorities over the renegotiation of the North American Free Trade Agreement, immigration policies and Trump's pledge to erect a wall along the U.S. southern border with Mexico.

A study in the Journal of the American Water Resources Association published this spring outlined the potential difficulties of setting up a water trading system in the American West, including the fact that there is not an umbrella authority over states in the 1922 Colorado compact.

Most schools will not assist children in applying their sunscreen as teachers face time pressures and concerns over child abuse is a huge deterrent that comes with strong advice from local authority education departments and trade unions.

Labour's decision to drop its opposition to free schools — a direct challenge to the local authority stranglehold over state schooling — is likely to anger trade unions, although union bosses yesterday welcomed moves to outlaw teachers without formal qualifications.

A financial area in which FINRA holds no regulatory authority over is the trading of Forex and commodities.

In the United States, they were disallowed from any exchange listing in the 1980s because the Commodity Futures Trading Commission and the U.S. Securities and Exchange Commission were unable to decide which would have the regulatory authority over these products.

The disputed activity has been performed or initiated by an individual with whom you have shared your account access information or to whom you have granted trading authority or a power of attorney over your account (s);

You agree that prior to placing a purchase order for securities, you will provide a valid and sufficient authorization to us for electronic funds transfers from an account at another financial institution (s) over which you have valid signatory authority and / or you will otherwise deposit sufficient funds with us on or before trade date.

(b) «Actual Funds» — means the equity in a commodity trading account over which a CTA has trading authority and funds that can be transferred to that account without the client's consent to each transfer.

Get your permission before buying or selling investments on your behalf, and confirm it in writing (unless you have a discretionary account or you have given someone else trading authority or power or attorney over your account).

This new technology is also being used for armchair tourism; Las Vegas Convention and Visitors Authority itself last year took an Oculus Rift VR headset to travel trade shows to showcase a 360 - degree video of a sunset helicopter tour over the city.

Temporarily taken over by Galerie BRD, an initiative invited to Berlin for the Project Space Festival, Å + hosted second co-operation between two parties who negotiate whether and how they might use one another: Cosmin Covacju and Jasmina Ferouca, both from a Leipzig - based Sinti and Roma community, and Uwe Greiner, who runs a trade in scrap metals with Covacju and accompanies him in his dealings with German authorities.

Over the past months, Gabonese authorities have quietly but decisively started to crack down on illegal logging and related trade in their forests.

If the adviser has discretionary authority over the client's account, is there any evidence of excessive trading, self - dealing, preferential treatment, unsuitable recommendations, unauthorized transactions or incomplete disclosure?