Displaying results 151 - 160 of 205
… Authority (``FINMA''). FINMA protects creditors, investors, and policy holders, ensuring the smooth … system for detecting breaches of risk tolerance limits and alerting supervisors and senior management, as appropriate; … Authority (``FINMA''). FINMA protects creditors, investors, and policy holders, ensuring the smooth …
Created on:
… is often hard to come by. This is a dilemma facing every investor as well as those who harbor the related risks. But … ; Customer Advisory: Be on Alert for Frauds Seeking to Profit from Market Volatility … s://www.cftc.gov/LearnAndProtect/AdvisoriesAndArticles/fraud_alert_profit_from_market_volatility_covid_19.htm . [14] See …
Created on:
… of a transaction. Such transparency lowers costs for investors, consumers, and businesses; lowers the risks of … surveillance system must have the capability to generate alerts on a trade date plus one day (T+1) basis to assist … market. OTC markets are thus said to be relatively opaque; investors are somewhat in the dark about the most attractive …
Created on:
… system for detecting breaches of risk tolerance limits and alerting supervisors and senior management, as appropriate; … report that is considered to have a material impact on investors (to include the presentation of any conflicts) and … report that is considered to have a material impact on investors (to include the presentation of any conflicts) and …
Created on:
… month-end. The purpose of the regulatory notices is to alert the Commission and the firm's DSRO as early as … placed into a liquidation proceeding under the Securities Investor Protection Act by the Securities Investor Protection Corporation (``SIPC''). The trustee …
Created on:
… month-end. The purpose of the regulatory notices is to alert the Commission and the firm's DSRO as early as … placed into a liquidation proceeding under the Securities Investor Protection Act by the Securities Investor Protection Corporation (``SIPC''). The trustee …
Created on:
… month-end. The purpose of the regulatory notices is to alert the Commission and the firm's DSRO as early as … placed into a liquidation proceeding under the Securities Investor Protection Act by the Securities Investor Protection Corporation (``SIPC''). The trustee …
Created on:
… ``controlled access to all of the CFTC's data regarding investor and hedger trading records.'' \172\ This commenter … \172\ CL-USCF-59644 at 3. Data regarding investor and hedger trading records may be protected by … current open swap position.\723\ The indication would alert the exchange to contact the market participant to …
Created on:
… Message and Execution Throttles 2. Volatility Awareness Alerts 3. Self-Trade Controls 4. Price Collars … \31\ See SEC, ``Investor Bulletin: New Measures to Address Market … (Apr. 9, 2013), available at http://www.sec.gov/investor/alerts/circuitbreakersbulletin.htm. …
Created on:
… \40\ Funding by investors for a mitigation project or activity could begin as early as the planning stage. Early investors may enter into agreements with a project … In June 2023, the CFTC's Whistleblower Office issued an alert notifying the public about how to identify and report …
Created on: