The firm did not adequately structure its AML program to address the use of securities accounts for the purpose of moving funds rather than trading securities
. [Reference Link]:[https://www.fincen.gov/news/news-releases/fincen-assesses-145-million-penalty-against-ubs-financial-services-anti-money]
It will result in a more seamless flow of information for clients trading securities
on the Hong Kong Stock Exchange.
The exchange also established that Calata committed 26 violations of the 'black-out rule' which prohibits a director or principal officer of an issuer from trading securities
during the prescribed period during which a material nonpublic information was obtained.
The decrease in net income from quarter to quarter was largely attributable to a negative swing in the aggregate net gains and losses associated with the bank's derivatives and hedging activities and its trading securities
portfolio (USD11.3 million), offset by an increase in the bank's net interest income (USD3.0 million) and a decrease in its operating expenses (USD2.0 million).
More specifically, the Volcker Rule could impact the banks' classification of certain debt securities as either held-to-maturity (HTM), available-for-sale (AFS), or trading securities
The Ontario Securities Commission approved a settlement plan that would see the former analyst banned for life from trading securities
except in his own retirement plans.
on the Macedonian Stock Exchange is getting increasingly more passive.
The market will enable investors to diversify their investments by buying and selling Sukuk and bonds through existing brokerage firms, and by using the same portfolio that is used for trading securities
2008-12 is whether a noncorporate limited partner's distributive share of interest expense incurred in the trade or business of trading securities
by the partnership is subject to the Sec.
Deutsche Bank spooked investors yesterday with unexpectedly weak earnings from trading securities
in the second quarter, sparking fears that choppy markets could upset its results this year.
Editor's note: Traditional stock exchanges, led by the New York Stock Exchange, remain the most visible and prestigious channels for trading securities
in this country.