securities firm

One of his priorities is to seal a joint venture with a Chinese securities firm so that the U. S. bank can work on domestic share sales.

Now its price is only over 5, you can buy as many as you can. Then you needn't come to the securities firm until when I tell you to sell it.

WILLIAM McDONOUGH: The head of a securities firm or a bank is not paid to be a patriot.

For Mr Wang, the tie-up was a part of his plan to transform China's largest brokerage into an international securities firm.

The shareholders meeting of a securities firm shall be convened within six months after the end of the fiscal year.

When a securities firm is engaged in self-run business, it should use self-run securities accounts with its true name.

Remove the restriction that the domestic partner in a JV securities firm has to be an existing domestic securities firm.

The recovery rate of counter- party shall be evaluated by the securities firm itself or provided by appropriate external institution.

The execution decisions should include the name, measure, reason, scope and other concerning issues of the securities firm.

The first securities firm to attempt to go through the back door was GF Securities.

A securities firm shall pay interest on cash collateral it collects from a borrower at a rate agreed between the two parties.

he's now a senior manager for a securities firm, as well as a motivational speaker.

Without securities business license, the securities firm and its domestic branch shall not run securities business.

The novels by a securities firm miss Emily and and poor the artist's daughter Rebecca as the main character.

The cuts also show how Mr. Lewis won't necessarily act provincially as he absorbs a prominent New York securities firm.

Securities brokers can only accept entrustment of one securities firm for customer attracting and service activities.

Nevertheless, where a securities firm provides quotes anonymously, the GTSM will disclose only the quotation information.

Securities brokers should work within authorized scope of the securities firm and show securities broker certificates to customer.

The securities business license should be written with business scope of such securities firm or its domestic branch.

Morgan Stanley had hoped to use its initial stake in CICC as a springboard to build its own local securities firm.

The annual report of the securities firm shall include the internal control review report issued by the accounting firm.

To inspect computer information management system of a securities firm and copy relevant data materials.

Japanese pedestrians check share prices on the electronic board of a securities firm in Tokyo.

The approved reorganization plan should be executed by the securities firm and supervised by the manager.

Securities service agencies provided services for a securities firm.

The securities firm and its staff shall not seek for undue interests by providing investment advice to customers.

She has found a job with a securities firm in Tokyo, but she will need to improve her English.

Since the securities firm is revoked, calculation of debt interest will stop.

The securities firm shall calculate day by day the ratio of the value of the customer's collaterals and its debts.

The securities firm shall not breach the trustee obligation and misappropriate the securities or fund in the customer guarantee accounts.

The New York securities firm's shares were hit in August amid concerns that the firm was heavily exposed to French banks.

Where a securities firm collects charges in violation of provisions, it shall be punished by the competent authority according to law.

Article 52 When a securities firm lends funds or securities to the customer, the customer shall give a certain percentage of deposit.

The stock saloon is held in a meeting room of a securities firm.

Article 5 Normal securities brokerage business should be guaranteed during risk management process of the securities firm.

Method by which the securities firm will return collateral to a customer that has repaid loaned funds.

When a firm quote is provided, the trade will be executed upon its confirmation by another securities firm.

Some of the world's largest banks and securities firm by market capitalization are now Chinese.

Disposing of the proceeds obtained by the securities firm from the original sale.

A securities firm shall fully disclose the fee schedule and itemized details thereof for all products and services it provides.

For customers to the economic loss caused by the securities firm, the negative social prestige, the impact of financial order, etc are huge.

Other situations that hinder normal risk management of the securities firm.

Upon occurrence of default by a securities firm, the GTSM may temporarily suspend its participation in EBTS trading.

The ailing securities firm quietly tapped the European Central Bank and the Federal Reserve as financial life lines.

Article 4 A securities firm shall adopt an effective internal control system for the conduct of securities lending business.

The board secretary is an officer of the securities firm.

Article 14 A securities firm conducting securities business money lending shall sign and execute a loan contract with the customer.

The most profitable securities firm in Wall Street history was cut to "neutral" from "overweight" by JPMorgan.

Lehman Brothers, America's fourth-largest securities firm, filed for bankruptcy.

The securities firm shall not provide customer's capital account and securities account to others.

On Monday morning, Jack comes to the securities firm with Cheryl at 9 at which Cheryl must be at work.

The securities firm should cease securities business operation and settled customers according to Article 18 of this regulation.

Article 4 A securities firm that conducts securities business money lending shall adopt an effective internal control system.

If the issuer issues ordinary corporate bonds, it can be exempted from providing a securities firm evaluation report and legal opinion.

Article 10 The entrusted securities firm should undertake custody fee and business operation cost during custody.

Article 2 A securities firm shall obtain approval from the competent authority to conduct securities lending business.

A securities firm must establish an internal control system to check capital adequacy according to securities regulations.

The average large securities firm was leveraged 27 to one in mid-2007. They were not regulated by any prudential supervisor.

The CDO had three investors: Paulson, securities firm ACA Capital Ltd. and German bank IKB Deutsche Industriebank AG.

Do you or the owner on this account work for or are affiliated with a securities firm, bank, insurance or trust company If Yes.

Axes Americas was a US-based securities firm.

A securities firm should draw general risk provisions according to regulation to make up operation loss.

A securities firm may raise the percentage under paragraph 1, subparagraph 3 or 4 as it deems necessary after assessment.

The securities firm should recommend appropriate product or service to customer based on their status.

In 2007, China's sovereign wealth fund, China Investment Corp. , took a 9. 9% stake in securities firm Morgan Stanley.

In 1999, Merrill CEO David Komansky hired Mr. Gorman as the securities firm's marketing chief.

The credit and debt of the securities firm will not change because of the revocation.

It is the year of 2000. Jack moves his workplace from the factory to the securities firm.

Bookstaber is a serious, smart fellow, a hedge-fund andWall Street securities firm veteran.

This responsible person shall not take management position of the securities firm in the same time.

Copy of securities firm permit.

In 2007, sovereign wealth fund China Investment Corp. took an initial 9. 9% stake in securities firm Morgan Stanley.

Morgan Stanley also owns a passive 34% stake in China's first joint-venture securities firm, China International Capital Corp.

Then they went to the securities firm after a short rest.

On Monday morning Jack doesn't go to the securities firm.

Where the products or services recommended by a securities firm are inconsistent with known situations of a client;

being an employee of a securities firm or director, supervisor, or employee of its affiliate;

To inquire directors, supervisors and workers of a securities firm, requiring them to make explanations of issues concerned;

Hold no less than 5% of the registered capital of the securities firm upon subscription or acquisition of the equity of the securities firm;

secondly, a domestic securities firm which has high credit standing and large scale of capital and asset sets up a private bank;

Ensure normal running of securities brokerage business of the securities firm and improve internal control system;

Organization, forming method, roles and responsibilities, rule of procedure of the securities firm;

To enter workplaces or business sites of a securities firm to undertake inspections;

Type, amount and internal approving procedure of external investment and guarantee of the securities firm;

Hinder normal operation order and business running of the securities firm and generate unstable factors;

Shareholders and actual controllers of a securities firm;

Taipei, Taiwan: A man sleeps after monitoring stockmarket prices at a securities firm

Develop risk management proposal of the securities firm and organize execution;

Enterprises controlled or actually controlled by a securities firm;

Report to local people's government on risk status and impact to social stability of the securities firm;

Disbandment reason and liquidation approach of the securities firm;

A securities firm and its directors, supervisors and workers;

Name and [] of the securities firm;

A securities firm intending to start securities lending and borrowing business shall meet the following requirements:

Manage property, chop, account book, document, etc. of the securities firm;

Control risk of the securities firm and put forward risk elimination proposals;

Take over property, chop, account book, document, etc. of the securities firm;

Where a securities firm does not designated a division to handle client's complaints according to provisions;

Notwithstanding the foregoing, a securities firm may revise the quoted interest rate;

Have relationship with managed items of the handled securities firm;

Determine management affair of the securities firm;

To take over the securities firm temporally and undertake an overall inspection;

Where a securities firm does not draw general risk reserve according to provisions;

On The Legal Relation Between Securities Firm's Brokers And Investors

Audit violation behavior of personnel in the securities firm;

The securities firm shall not have the following behavior while being engaged in self-run securities business:

The Taxation Statue of Securities Firm in China and its Optimization

Where a securities firm violates provisions to entrust others to buy and sell securities;