Search Results | Showing 1 - 10 of 52 results for "Financial Instruments" |
| | ... accurate information to their customers about their valuation processes," SEC chief enforcement's complex financial instruments unit Osman Nawaz said. "This matter underscores that we will hold service providers, such as Bloomberg, accountable for misrepresentations ... |
| | | ... clear understanding of the risks those products present," chief of the Division of Enforcement's Complex Financial Instruments Unit, Osman Nawaz said. "As fiduciaries, advisers also must make suitable recommendations to their clients. Complex products ... |
| | | ... has become a key concern that may drive investor confusion when it comes to identifying which companies or financial instruments conform to a given set of ESG standards," S&P said, discussing the labelling of green bonds specifically. "According to the ... |
| | | ... potentially trade in bitcoin derivatives. "Each fund may use instruments referred to as derivatives, which are financial instruments that derive their value from one or more securities, commodities (such as gold or oil), currencies (including bitcoin) ... |
| | | ... and a buyer, typically made with borrowed or leveraged funds, betting on the entry and closing price of financial instruments like shares. If the closing price is higher than the opening price, the buyer makes a profit. If the trade price decreases ... |
| | | ... other bidder not to describe Kamensky's conduct as a threat." The SEC division of enforcement's complex financial instruments unit chief Daniel Michael said this type of "deceptive conduct" has no place in securities offerings. "Kamensky abused his ... |
| | | ... market banks, where almost 90% were drawing on USD allocations to boost gold reserves." In terms of the financial instruments used for gold exposure: 40% of sovereign investors are using gold futures, 40% are using gold-backed ETFs while some are still ... |
| | | ... experience when clients are applying and renewing an LEI, which is a requirement in the trading of certain financial instruments." Donohoe said APIR has consistently recorded strong growth in LEI registrations over recent years, with 2019/20 seeing a ... |
| | | ... futures. The proposal notes that ETIs would also include pooled investment vehicles, debt issuers, or similar financial instruments that that have embedded structural features designed to deliver a return other than the full unlevered return of the underlying ... |
| | | ... private jet service, 150 luxury sports cars and multiple properties. Daniel Michael, chief of the complex financial instruments unit of the SEC's enforcement division said that while the Carpoffs' pitch to investors seemed new and innovative, their ... |
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