'Broker dealers' presentation slideshows

Financial Oversight Update

Casualty Actuarial Society Casualty Loss Reserves Seminar September 14, 2004. Financial Oversight Update. Kris DeFrain, FCAS, MAAA NAIC Property & Casualty Actuary National Association of Insurance Commissioners. Overview. State of the Industry Financial Analysis Examination White Paper

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Chapter Sixteen

Chapter Sixteen. Securities Firms and Investment Banks. Securities Firms and Investment Banks (IBs). Investment banks (IBs) help corporations and governments raise capital through debt and equity security issues in the primary market underwriting is assisting in the issue of new securities

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Economic and Financial Overview

Shareholders Services Association. October 23, 2008. Economic and Financial Overview. Presented by Bernard Schoenfeld. Housing Starts. Seasonally Adjusted Annual Rate. Mortgage Delinquency Rates. Existing Home Sales. Existing Home Sales Months Supply.

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ANTI-MONEY LAUNDERING REGULATION OF US BROKER-DEALERS

ANTI-MONEY LAUNDERING REGULATION OF US BROKER-DEALERS. Presented by: Kathy H. Rocklen krocklenl@proskauer.com 212.969.3755. TOPICS. Background Bank Secrecy Act USA PATRIOT Act AML Compliance Programs Customer Identification and Verification Programs

324 views • 21 slides

Marilyn Smith Head U.S. Risk Policy & Governance BMO Financial Group/ Harris Bank

Bank Broker-Dealers / What You Should Know. Marilyn Smith Head U.S. Risk Policy & Governance BMO Financial Group/ Harris Bank. April 18 ? 2011. Disclaimer.

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Self Regulation: The US Experience

Self Regulation: The US Experience. Ethiopis Tafara US Securities & Exchange Commission. History of Self-Regulation. Securities Exchange Act of 1934 SEC created in aftermath of 1929 stock market crash NYSE largest of about 30 exchanges in 1934

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CHAPTER 13

CHAPTER 13. Securities Regulation and Compliance. Learning Objectives. Discuss the purpose of regulation of the securities industry Define a security Explain the purpose of securities regulation in the U.S. Explain how a company becomes a commodity in the market

422 views • 14 slides

Insurance Services Overview

Insurance Services Overview. John Ziambras Managing Director & General Manager. Insurance Services Overview. Division of NSCC Established in 1997 Link Insurance Carriers with Broker/Dealers, Banks, and other Distributors of insurance products

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Introduction to Financial Management

Introduction to Financial Management. Bill Klinger. Introduction to Financial Management. Introductions Me You Syllabus Class procedures Class expectations A recent study showed that 83% of people who lost their job, lost it because of attendance or attitude. Daily Listen to 1130 AM

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V. Conferencia Internacional Antilavado de dinero y Contra el Financiamiento al Terrorismo

KPMG FORENSIC SM. V. Conferencia Internacional Antilavado de dinero y Contra el Financiamiento al Terrorismo Anti-Money Laundering Compliance for Broker/Dealers Current Trends and Leading Practices July 2009. ADVISORY. Current Regulatory Environment.

299 views • 12 slides

Powering the Exchanging World

Powering the Exchanging World. Shareholder Services Association Luncheon Thursday, February 19, 2009. NYSE Cash Equities Fixed Income ETFs DRs. Alternext Cash Equities DRs. Euronext Cash Equities Fixed Income ETFs Certifications Warrants DRs. Latin America.

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Hartley T. Bernstein

Hartley Bernstein is one of the reputed and knowledgeable attorney in the New York. Our law firm provides legal services to companies in a wide variety of fields, including the financial services industry, advertising/marketing, internet publishing, real estate development and management, strategic research and planning, information dissemination, consumer products, and sports and entertainment services. Call us today at (212) 381-9684.

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FACTA

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Laser App - DST Straight-Through Processing

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Transforming Technology Strategy for Broker-Dealers

Transforming Technology Strategy for Broker-Dealers. David McClellan Director Albridge, an affiliate of Pershing, a BNY Mellon company. The Conundrum of Broker-Dealer Processing Today. The Albridge Vision for Streamlined Processing.

150 views • 4 slides

Changing Broker Dealers

Financial Advisor Placement Services is the premier financial advisor recruiting firm that specializes in placing only financial advisors. There is no cost to the Advisor! For more details, please feel free to log on to: http://www.financialadvisorplacementservices.com

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What Broker-Dealer Financial Services are and Why They Matter to Your Investment

Broker-dealer financial services are engagements in effecting transactions in securities on behalf of others or own account. The name broker-dealer denotes two relationships. Under the broker relationship, a person or an entity acts in an agency capacity. In this case, the broker-dealer helps a customer by facilitating buying or selling of a security. The facilitator has no money at risk and only attempts to match up a buyer and a seller. On the other hand, under the dealer relationship, the dealer is a principal in the transaction. He/she literally buys or sells securities. A broker-dealer works under extensive regulations. There is a requirement for disclosure in writing whenever acting as a dealer. They can only act in one capacity at each trading and not in both capacities. Some broker-dealers will call themselves registered broker-dealers.

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Broker-dealer financial services | Wealth management

Broker dealers offer financial services that involve the trading of securities for themselves and clients in the financial market. Brokers are also stock holders, and are major players in the financial market. It is now very easy to access a broker dealer online, and you can access the broker dealer qualifications with ease. They help with wealth management and growth some times. They also sometime provide financial advices to clients.

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6Independent Broker Dealers - An Introduction

Independent Broker Dealers - An Introduction

107 views • 1 slides