Search for: "Dealer Trade Incorporated"
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20 Jan 2023, 7:01 am
In normal times, HFTs contribute to market liquidity by passively trading against the pricing errors created by dealers’ aggressive trade flows. [read post]
30 Jul 2014, 10:32 am
Schmidt There is an attraction for companies to incorporate in Delaware, likely due to the abundance of well-known publicly traded corporations that have chosen to incorporate there. [read post]
5 Feb 2019, 12:54 pm
In a December 12, 2018, letter to a US trade association with members that include broker-dealers in securities (“broker-dealers”), the US Securities and Exchange Commission (“SEC”) extended its no-action relief to broker-dealers who wish to rely on investment advisers to perform the broker-dealer’s obligations under US federal anti-money laundering (“AML”) customer identification program and beneficial owner… [read post]
11 Jul 2011, 1:05 pm
Addition of Canadian Residency, Organization or Incorporation Requirement for Permitted Clients Under the Amendments, the international dealer exemption under section 8.18 of NI 31-103 will be available only if the permitted client is a “Canadian permitted client”. [read post]
3 Dec 2010, 12:15 pm
As we discussed in a post of April 30, IIROC proposed a new dealer regulation fee model earlier this year that would incorporate a "rate by revenue tier" approach to dealer regulation. [read post]
8 Nov 2021, 9:40 am
” The Authentic Tribal Art Dealers Association(ATADA) derided “the false claims of involvement of the U.S. antiquities trade in general in money laundering or activities supporting terrorism. [read post]
19 Mar 2019, 6:12 am
The framework is based on the existing regulatory framework applicable to marketplaces and incorporates relevant requirements for dealers facilitating trading or dealing in securities. [read post]
10 Aug 2011, 8:14 am
NFA comments on CFTC swap incorporation rule-makingThe NFA has released a comment letter to the CFTC offering its opinion on two provisions found in the CFTC proposed rule to incorporate swaps into existing agency regulations. [read post]
8 Nov 2021, 9:40 am
” The Authentic Tribal Art Dealers Association(ATADA) derided “the false claims of involvement of the U.S. antiquities trade in general in money laundering or activities supporting terrorism. [read post]
5 Dec 2011, 12:53 pm
Employing comprehensive checklists that incorporate previous inspection findings and trends from internal reports. [read post]
9 Jun 2009, 1:25 pm
Comprehensive Regulatory Framework A comprehensive regulatory framework governing OTC derivative dealers and OTC derivative markets should apply to all dealers and all derivatives, no matter what type of derivative is traded or marketed. [read post]
25 Apr 2013, 9:46 am
The rule is referred to as the “red flags rule” and applies to certain broker-dealers, mutual funds, investment advisers, futures commission merchants, retail foreign exchange dealers, commodity trading advisors, commodity pool operators, introducing brokers, swap dealers, major swap participant, and certain other entities regulated by the SEC and CFTC that qualify as a “financial institution” or “creditor” under the Fair… [read post]
2 May 2018, 3:00 pm
The legislation approved by the Parliament on April 19 seeks to broaden the Directive by including cultural property dealers on the list of regulated sectors.The legislation specifically identifies "persons trading or acting as intermediaries in the trade of works of art, including when this is carried out by art galleries and auction houses, where the value of the transaction or a series of linked transactions amounts to €10,000 [~$12,000 USD] or… [read post]
29 Jun 2018, 10:10 am
Register as a Broker-Dealer Registering as a broker-dealer (“BD”) is a pre-requite to becoming an ATS. [read post]
7 Aug 2017, 9:16 am
The findings stated that in 19 instances, the firm recorded an inaccurate order execution time on its books and records, submitted a trade report to the FNTRF that contained an inaccurate execution time, and submitted to the TRF a trade report that reflected the firm’s mark-up or mark-down in the reported unit price. [read post]
30 Jan 2023, 12:55 pm
Some broker-dealers that are also investment advisors aim to incorporate these predictions into their investment strategies to generate alpha for the portfolio. [read post]
20 Oct 2016, 5:56 am
On October 20, 2016, First Capital Real Estate Trust Incorporated (First Capital) announced that its board of directors had approved a suspension of First Capital’s monthly distributions to increase cash reserves. [read post]
10 Dec 2020, 9:36 am
"Commissioner Dan Berkovitz also supported the rule yet expressed some disappointment that rule did not incorporate some of the features of Regulation AT, which had been withdrawn. [read post]
2 Jan 2021, 2:04 pm
In addition, under the beneficial owner regulation, the same covered companies subject to the CIP regulation must identify the beneficial owners of certain of their legal entity customers (“covered customers”) and incorporate customer due diligence procedures into their required AML compliance programs. [read post]
5 Jun 2019, 11:48 am
Voting There is no standard “voting override” language contained in any of the LMA documents, although most investment banks and broker-dealers will seek to include their own form of “voting override” language in LMA distressed participation agreements and LMA distressed and claims trades where voting has been agreed to be passed on to the buyer from the trade date. [read post]
