Displaying results 181 - 190 of 205
… oversee the audits of public companies in order to protect investors and the public interest by promoting informative, … the Joint Audit Program accordingly; (3) Issuing risk alerts for futures commission merchants and/or designated …
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… in the public interest or for the protection of investors, the Commissioner of the FSA may order a change of … (ii) To implement measures to ensure the protection of investors in preparation for an unexpected event, through … purpose and effect in that the provisions are intended to alert the FSA and Commission/NFA, respectively, of …
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… U.S. IB customers are required to provide disclosures to alert U.S. customers to the risks of trading in foreign … Caroline D. Pham on Staff Letter Regarding ADM Investor Services, Inc. (June 16, 2023), …
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… in Salomon Forex v. Tauber,\12\ where a sophisticated investor sought to invalidate a multi-million dollar trading … ``[t]his case does not involve mass marketing to small investors, which would appear to require trading through an … The Commission also issued brochures to alert customers to the possible scams involving forex fraud. …
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… the CFTC launched the SmartCheck Web site. It connects investors to tools to check the registration, license, and … This collection of tools allows the responsible investor to confirm the credentials of investment … history, and stay ahead of scam artists with news and alerts. …
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… have seen time and time again that it ends badly. American investors, small and large, have demonstrated eagerness to … clearly articulating when conduct may cross the line, alerting the public to emerging scams, and informing our …
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… breaches of risk tolerance limits set by an SD or MSP, and alerting supervisors within the risk management unit and … on this definition, the Association of Institutional Investors (AII) stated that basing the definition on an … banks, hedge funds, pension funds, and other institutional investors, as well as corporate, governmental, and other …
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… than DCMs because participants must be sophisticated investors or must be hedging risk associated with their … is a SPDC. This notice requirement, however, will serve to alert the Commission to the contracts that are most likely … than DCMs because participants must be sophisticated investors or must be hedging risk associated with their …
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… than DCMs because participants must be sophisticated investors or must be hedging risk associated with their … is a SPDC. This notice requirement, however, will serve to alert the Commission to the contracts that are most likely … than DCMs because participants must be sophisticated investors or must be hedging risk associated with their …
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… than DCMs because participants must be sophisticated investors or must be hedging risk associated with their … is a SPDC. This notice requirement, however, will serve to alert the Commission to the contracts that are most likely … than DCMs because participants must be sophisticated investors or must be hedging risk associated with their …
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