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… detailed information about an outsize swap transaction may alert the market to the possibility that the original … negotiation affords less protection to unsophisticated investors than trading through the central markets, and that … negotiation affords less protection to unsophisticated investors than trading through the central markets, and that …
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… technological enhancements, lobbying activities, investor education, etc.). ISDA stated that it is … close of the previous business day. Such notification would alert the Commission of potential strain on the DCO's … financial resources decreases will serve the purpose of alerting the Commission to possible financial distress at a …
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… detailed information about an outsize swap transaction may alert the market to the possibility that the original … that transaction.\88\ Other market participants might be alerted to the liquidity provider's need to offset risk and … Association (``ISDA''). 37. Association of Institutional Investors (``AII''). 38. Swaps & Derivatives Market …
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… i.e., a process of identifying when to involve or alert specific personnel, including senior leadership, of an … reports, management commentary, auditors' opinions, and investor relations materials). Incident response plans, … reports, management commentary, auditors' opinions, and investor relations materials). Incident response plans, …
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… General Provisions, broker- dealers shall make available to investors, through notes in their annual financial … is proposing these conditions so that it will be alerted to the occurrence of any of the defined events in a … hours of the occurrence of a reportable event or of being alerted to a reportable event by the Mexican Commission. …
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… comparable to the existing FCM notices, and are intended to alert the Commission and RFA to scenarios that may indicate … including SDs and their clients (who could be professional investors, public and non-public operating firms) and … requirements for CSEs should help the Commission and investors monitor and assess the financial condition of …
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… that serves to formally withdraw the OCR NPRM and to alert the public to the rulemaking proposed herein. IV. … contracts based on the amount of funds contributed by investors. It is typical for an ETF for commodities to track … of CIT described in clause (b) is the strategy of an investor entering into a total-return swap with a …
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… Part of the PRA Rulebook by PRA- designated UK nonbank SDs alerting the PRA of a breach of the PRA- designated UK … hours of the occurrence of a reportable event or of being alerted to a reportable event by the PRA. The Commission … central banks and commercial banks, asset managers and investors, and companies to manage the risks inherent in …
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… believes that Commission staff would be more effectively alerted to changes to the information in Form SDR for … 40 to update verification policies and procedures will help alert reporting counterparties and other market participants … the swaps marketplace with a finite number of institutional investors trading hundreds of thousands of products, often …
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… notices filed under Article 142 of CRD by EU nonbank SDs alerting competent authorities of a breach of the EU … hours of the occurrence of a reportable event or of being alerted to a reportable event by the relevant competent … central banks and commercial banks, asset managers and investors, and companies to manage the risks inherent in …
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