Sentences with phrase «when trading in securities»

«Gowlings has clear policies and programs in place to ensure our professionals understand their responsibilities when trading in securities and act accordingly,» wrote Erinn Steringa, marketing communications manager for Gowlings, in a statement.

Not exact matches

In an amended filing with the U.S. Securities and Exchange Commission, Spotify said it expected current shareholders to sell up to 55.7 million ordinary shares when the stock begins trading on the New York Stock Exchange on April 3.

Dealer Trading Account Profit represents profits on trading securities when a bank is engaged in securities brokerage services through its subsidTrading Account Profit represents profits on trading securities when a bank is engaged in securities brokerage services through its subsidtrading securities when a bank is engaged in securities brokerage services through its subsidiaries.

Dealer Trading Account Loss represents losses on trading securities when a bank is engaged in securities brokerage services through its subsidTrading Account Loss represents losses on trading securities when a bank is engaged in securities brokerage services through its subsidtrading securities when a bank is engaged in securities brokerage services through its subsidiaries.

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.

Liquidity risk: is a financial risk that can occur when a given financial asset, security, or commodity can not be traded quickly enough in the market to prevent or minimize a loss.

These types of conditional calls are normally related to the price involved in the security, and allow the company, if the trading price of the stock gets to be beyond a set range, to call in the security earlier than the agreed upon date when issuing them.

NEO has a unique market making program that ensures regular and reliable liquidity in listed securities and investment products, playing a vital role in supplying liquidity when it's needed the most and helping meet the trading demands of the long - term investors.

When market conditions favor wider diversification in the view of Hussman Strategic Advisors, Inc., the Fund's investment manager, the Fund may invest up to 30 % of its net assets in securities outside of the U.S. fixed - income market, such as utility and other energy - related stocks, precious metals and mining stocks, shares of real estate investment trusts («REITs»), shares of exchange - traded funds («ETFs») and other similar instruments, and foreign government debt securities, including debt issued by governments of emerging market countries.

For US Treasury securities, the estimated price impact rose sharply when markets were stressed in late 2008, underscoring how costly it was to execute trades even in one of the most liquid bond markets (Graph 1, right - hand panel).

The additional factors considered when determining any changes in fair value between the most recent valuation report and the grant dates included, when available, the prices paid in recent transactions involving our equity securities, as well as our operating and financial performance, current industry conditions and the market performance of comparable publicly traded companies.

This makes bonds a relatively heterogeneous asset class in which many securities are thinly traded.3 At the same time, institutional investors often hold assets to maturity and, when they do trade, do so in large amounts.

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.

Baupost doesn't go short because unlike going long when you can take advantage of a drop in the value of an undervalued security by just buying more, if your short even though you may be right that it's worth less then the trading price you can still go broke.

Second, concerns about China's political culture / values (especially human rights) and security issues seem to be less of a factor in shaping public hesitancy around a free trade agreement when compared to certain economic considerations.

Broadly speaking, what Harbor claims to do is protect issuers and investors by making it easier for them to operate in accordance with securities, tax and other regulations when issuing and trading crypto - securities.

On the up side, when you trade in a margin account, you can typically borrow up to 50 % of the cost of any new securities.

When you trade in a cash account, your potential loss is limited to the amount you've invested, and since you own your securities outright, you get to decide when, or if, to sell tWhen you trade in a cash account, your potential loss is limited to the amount you've invested, and since you own your securities outright, you get to decide when, or if, to sell twhen, or if, to sell them.

The 2way peg security will first rely in a federation holding custody of bitcoins, and later switch to an automatic peg, when the community accepts the security trade - offs of the automatic peg.

(They can also emerge in other situations, such as when an ETF's trading hours don't match those of its underlying securities, as with some international funds.)

Volatility refers to the changes in price that securities undergo when trading.

In a new national security strategy, the president earlier this month described China as a strategic competitor and said that when it comes to trade, the United States «will no longer turn a blind eye to violations, cheating or economic aggression.»

When trading an ETF, you're essentially trading a bundle of securities — not just a few here and a few there — in one transaction.

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.

I have «traded» illiquid securities in my life and have a feel for when claims r invalid.

When it comes to purchasing securities traded on an open market, a decision to invest a large sum all at once can expose you to the risk of buying at an inopportune time in the market cycle.

When you enroll in the Sharebuilder plan, you can place buy trades on Tuesdays only for $ 3.95 per security.

So my question is, in pre-market and after - hours trading, when bid - offer can widen significantly on lower volume securities (or on securities where volume lessons period regardless of overall daily volume), is it not feasible that you could buy SHORT the ask of XYZ at, say 150, then immediately sell at the lower bid of 148 for a quick 1.25 % return?

The Fund may engage in active and frequent trading of portfolio securities to achieve its investment objective... the Fund will invest in a portfolio of securities including: equities, debt, warrants, distressed, high - yield, convertible, preferred, when - issued... options, total return swaps, credit default swaps, credit default indexes, currency forwards, and futures... ETFs, ETNs and commodities.»

In the bond market, when an investor buys or sells a bond, the counterparty to the trade is almost always a bank or securities firm acting as a dealer.

Before trading securities on margin, we encourage you to carefully review the Margin Account Agreement contained in the «Account and Service Agreements and Disclosure Documents» booklet sent to you in the mail when you opened an account.

You will find the exact type of security protocols offered at online Binary Options trading sites as you would when logging into your online bank account, they are utilize the very highest standards in security and as such you will find them completely safe and secure to use.

When the circuit breaker trips, trading in the security — or potentially the entire market — is halted for a period of time.

Bear in mind that you have to deal with tax issues and currency risks when trading foreign securities.

When stockmarkets are in decline, however, the securities can trade down dramatically as investors attempt to avoid paying further installments.

Longer term securities, when their term shortens to the limits mentioned, are also traded in the money market.

[2] Formed when the Australian Stock Exchange and Sydney Futures Exchange merged in 2006, the Australian Securities Exchange operates two trading, clearing and settlement platforms.

Shares in large publicly listed companies that are regularly traded on the ASX (Australian Securities Exchange) are considered liquid assets, while direct property investments are less liquid, due to difficulties and time delays that may be experienced when buying and selling.

Vertical spreads are a well - known technique in options trading that are often used when the volatility of the underlying security (and thus the option premium) are very high.

Mexico / bonds in 1994, Cash flow Collateralized Debt Obligations [CDOs] 1999 - 2001, Manufactured Housing Asset - backed securities [ABS] 2002 - 2004, and the GM / Ford downgrade to junk crisis in May 2005 when the correlation trade went wrong.

Because the Funds may invest in underlying ETFs that hold portfolio securities primarily listed on foreign exchanges, and these exchanges may trade on weekends or other days when the underlying ETFs do not price their shares, the value of some of a Fund's portfolio securities may change on days when you may not be able to buy or sell Fund shares.

In addition, it determines the last and the most recent value at which the securities are traded by the agreement of buyer and seller when some sum of the funds was transacted.

And so, when it comes time to decide how to invest in the stocks and bonds you're going to own, you have three choices: you can buy individual securities, you can buy mutual funds, or you can buy ETFs — Exchange Traded Funds.

It's incredibly common for investors to trade on margin, especially when investing in certain types of securities such as options, futures, and forex.

When the markets are dislocated, they can make room on their balance sheets to wave in securities that are distressed and temporarily trading below intrinsic value.

In English - The behavior of asset classes, and their interaction with each other, are much more important long - term than choosing the best - performing securities to represent them, or when to trade them.

Security Council members should also strengthen MONUC's mandate to tackle the illicit mineral trade when this comes up for renewal in May.

FINRA's amended Rule 2232 requires that when a retail customer buys or sells a corporate or agency bond, the trade confirmation must disclose the mark - up or mark - down the member firm received in the transaction when «the member also executes an offsetting principal trade in the same security on the same trading day, which in the aggregate meet [s] or exceed [s] the size of the customer -LSB-'s] trade.»

She was legal adviser to the Department of National Defence and the Canadian armed forces in the period after the deadly 2001 suicide attacks on the U.S. Pentagon and the World Trade Center, at a time when the government was rethinking security issues and rewriting its contracts for military hardware to strengthen military equipment against the improvised explosive devices that were killing Canadian soldiers in Afghanistan.