S-1/A Table of Content& Indirect Regulatory Requirements A number of our clients are financial institutions that are directly subject to various regulations and compliance obligations issued by the CFPB, the Office of the Comptroller of the Currency and…
AML Committee PWM AML Surveillance Status Report November and December 2013 MANAGEMENT SUMMARY Regulatory/Audit Fed Exam AML Compliance submitted response and remediation plan. 12-month review of CTRs and 345 Branch Operations Risk Assessment was completed in August 2013…
…prevent the client's data being shared between DB Locations? (If 'Yes' please describe the requirements). Regulatory Status (Level 3 or Level 0 regulated entity) Sales Response 16. Are you aware if any changes have been made in the last…
…EXECUTION SCHEDULE A Research-Related Settlement: On August 26, 2004, in connection with the 2002 industry-wide governmental and regulatory investigations into research and analysts practices, Deutsche Bank Securities Inc. ("DBSI") reached a settlement agree…
…EXECUTION SCHEDULE A Research-Related Settlement: On August 26, 2004, in connection with the 2002 industry-wide governmental and regulatory investigations into research and analysts practices, Deutsche Bank Securities Inc. ("DBSI") reached a settlement agree…
…this booklet are expressed in U.S. dollars. Subject to regulatory ap- proval. trading in index options whose exercise prices or premiums are expressed in a foreign currency may be introduced in the future. The total exercise price for a…
…prevent the client's data being shared between DB Locations? (If 'Yes' please describe the requirements). Regulatory Status (Level 3 or Level 4 regulated entity) Sales Response 16. Are you aware if any changes have been made in the last…
…a broker-dealer registered with the U.S. Securities and Exchange Commission and a member of the Financial Industry Regulatory Authority and the New York Stock Exchange, and it is not a bank. Deposit Accounts are held by the respective…
…a broker-dealer registered with the U.S. Securities and Exchange Commission and a member of the Financial Industry Regulatory Authority and the New York Stock Exchange, and it is not a bank. Deposit Accounts are held by the respective…
…the Financial Industry Regulatory Authority ("FINRA") filing fee and the NYSE listing tit. SEC registration fee $ 427,616 FINRA filing fcc …
…Response 16. Are you aware if any changes have been made in the last 12/36/60 months, to your Client's regulatory status or any country or jurisdiction the Client is connected to? If yes, please provide the name…
…a broker-dealer registered with the U.S. Securities and Exchange Commission and a member of the Financial Industry Regulatory Authority and the New York Stock Exchange, and it is not a bank. Deposit Accounts are held by the respective…
…prevent the client's data being shared between DB Locations? (If 'Yes' please describe the requirements). Regulatory Status (Level 3 or Level 4 regulated entfty) Sales Response 16. Are you aware if any changes have been made in the last…
…prevent the client's data being shared between DB Locations? Of 'Yes' please describe the requirements). Regulatory Status (Level 3 or Level 0 regulated entity} Sales Response 16. Are you aware if any changes have been made in the last…
…Response 16. Are you aware if any changes have been made in the last 12/36/60 months, to your Client's regulatory status or any country or jurisdiction the Client is connected to? If yes, please provide the name…
…a broker-dealer registered with the U.S. Securities and Exchange Commission and a member of the Financial Industry Regulatory Authority and the New York Stock Exchange, and it is not a bank. Deposit Accounts are held by the respective…
… or (c) to comply with a request of the CFTC, the US Department of Justice, any self-regulatory organization designated by the CFTC, an applicable prudential regulator, or as otherwise required by law. 10.2 Client further authorizes DB to…
…a broker-dealer registered with the U.S. Securities and Exchange Commission and a member of the Financial Industry Regulatory Authority and the New York Stock Exchange, and it is not a bank. Deposit Accounts are held by the respective…
…Floating Rate: 3M HIB0R, Frequency: Quarterly, Day- count: Act/365. Short term money market instruments (BA/CP/repo/Exchange Fund bills) Regulatory: No restrictions Avg. ticket size: HKD 200 - 300mn Bid/ask spread: 2 - 5b…
…Requirements, recognised in accordance with Article 77 of EMIR (each such repository. a "‘TR") and relevant regulators and that such disclosures could result in certain anonymous transaction and pricing data becoming available to the public. Each party further acknowledges that…
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