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...the volume of derivatives a counterparty enters into, [[ESMA]] ([[European Securities and Markets Authority]]) has defined a set of clearing thresholds for each

*'''For securities''': CASS {{cassprov|6.1.12}}, but see also {{cassprov|6.1.4}} for an import #'''As [[custody]] [[agent]]''': [[client]] pre-delivers securities to broker and instructs it to sell them; broker executes in its own name in

...e 2001 Law''', being the law dated 1 August 2001 regarding the transfer of securities and other fungible instruments, [[As amended from time to time|as amended]] ...This is where the frustrated author inside every [[Mediocre lawyer|modern securities lawyer]] really lets {{sex|her}} figurative imagination run wild.

...polos.pdf|Harry Markopolos’ 18 page submission to the SEC]]</ref> to the [[Securities and Exchange Commission]] about five times over the course of a decade.

...ded commodities” include financial instruments, such as rates, currencies, securities and indices.

...o exchange ''large'' — like, ''really'' large — amounts of [[money]], or [[Securities|money-like things]], having readily realisable value, and the performance o '''Debt securities''': These are loans in the form of tradable securities: [[Debt security|Bond]]s, notes, or [[Certificate of deposit|certificates o

Likewise, securities trading. portfolio investing If you are a football striker, a well-timed v ...eing'' punched down. Client mode is attack; adviser mode is defence. The [[Securities and Exchange Commission|SEC]], when investigating [[Bernie Madoff|Madoff]],

...gning [[confidentiality agreement]]s that violated Rule 21F-17(a) of the [[Securities Exchange Act of 1934]]. ...the [[Securities and Exchange Commission|SEC]] information about possible securities law violations. Where this leads to conviction, whistle-blowers stand to be

...ance against those (for example by using them as [[collateral]] under a [[securities financing]] programme) it can improve its [[balance sheet]] position, repay {{voting rehypothecated securities}}

...ied by article 78 of the Regulated Activities Order (government and public securities) which are issued by a single issuer; or <li>

...ons schedules, bail-in protocols, master confirms, closing agendas, global securities — ''everything''. Work manuals to deal with every situation. ...THE PERIOD OF 40 DAYS AFTER THE COMPLETION OF THE DISTRIBUTION OF ALL THE SECURITIES OF THE TRANCHE OF WHICH THIS SECURITY FORMS PART.}}{{indent|