(4) Deposit banks, designated commercial banks, asset management agencies, security exchanges, securities registration and clearing agencies of a securities firm

Article 76 A securities firm shall undertake real time monitoring on trading behaviors of its self operation accounts and portfolio management accounts.

The designated commercial bank shall sign a customer trading settlement funds custody contract with the securities firm and its customer, setting forth matters such as the deposit and withdrawal, transfer and enquiries of the trading settlement funds, and shall open a general account of customer trading settlement funds for the securities firm according to the requirements of net amount settlement and delivery versus payment of securities trading.

Self run securities accounts of the securities firm should be submitted to the stock exchange for filing within 3 trading days of account opening.

a transaction involving securities

Article 48 Securities lending and borrowing referred to in this article means that in the securities trading at the stock exchange or other securities trading places that have been approved by the State Council, securities firms lend capital or securities to customers for them to buy or sell securities based on the corresponding collaterals provided by the customers.

1 Customers purchase of securities, settlement of securities trading or customers withdrawal

Securities account opened by the securities firm for securities assets management customer should be submitted to stock exchange for filing within 3 trading days.

36. The Bermuda Stock Exchange celebrated 26 years of securities trading in Bermuda during 1997.

Bank accounts and securities

Article 80 Where a securities firm entices its clients to conduct unnecessary security trading or uses assets of its clients to take unnecessary security trading in its dealing with portfolio management business, it shall be punished according to the provisions prescribed in Article 210 of the Securities Law of the People s Republic of China.

E. Bank accounts and securities

Article 5 By obeying national regulations, securities firms can issue, trade and sell securities financial products.

Securities brokers shall not handle securities subscription or trading for customers.

3 Engage in unnecessary securities trade by using customer s assets

(3) Where a securities firm does not report its security self operation accounts or portfolio accounts of its clients to a security exchange for file according to provisions

(b) (i) Transactions on a regulated exchange (ii) foreign exchange transactions (iii) inter bank payment systems, inter bank payment agreements or clearance and settlement systems relating to securities or other financial assets or instruments (iv) the transfer of security rights in sale, loan or holding of or agreement to repurchase securities or other financial assets or instruments held with an intermediary.

E. Bank accounts and securities 30 11

E. Bank accounts and securities 82 21

D5 (bank accounts and securities) losses

In England and Wales, all RBS references, outside head office and the stock exchange listing, will be changed to NatWest.

Article 57 Where a securities firm carries out securities brokerage business, its customer s trading settlement funds shall be deposit in the designated commercial bank, and shall be managed separately in the name of each customer.

Fees on securities lending and reversible gold transactions

True, major commercial banks, like Citibank and Bank of America, tottered, but they were not at risk because of their securities underwriting for corporate clients or their securities trading divisions, but because of how they (mis)handled mortgage securities. Mortgage lending, however, is a long standing activity for commercial and savings banks, mostly unaffected by Glass Steagall or its repeal.

The decrease of transaction settlement fund balance in the securities market in July was smaller than that in June, while the net bank securities transfers stood at negative RMB 66.6 billion.

(4) Where any securities broker accepts entrustments of clients to handle such issues as securities subscription and trading.

This company is listed on the Paris stock exchange.

4 Trade between self run securities account and securities assets management account, or among different securities assets management accounts, and has no sufficient evidence proving that it has legally realized effective separation

This imported statement contains investment transactions with no security. These transactions will be ignored.

The types of securities that can be lent to the customer by the securities firm and can be bought with the funds lent to the customer by the securities firm, the types and coefficient of the securities that can be used as deposit, the time limit for securities lending and borrowing, the minimum guarantee maintenance ratio and the time limit for making up the difference shall be determined by the stock exchange.

C5 Bank Accounts ( BA ) and C5 Stocks and Other Securities ( SOS )

Traded loans (borderline between securities and other financial instruments)

A domestic brokerage analyst said that the Orient Securities in Hong Kong did not enjoy a good foundation. Only its capital management business is its strength. It has many inherent problems compared with Bank of China International and CITIC Securities, etc.

PARIS In the early phases of the financial crisis, it was fashionable to argue that the United States system of regulation needed a fundamental structural overhaul. Differences of opinion between the Securities and Exchange Commission (SEC) and the Commodity Futures Trading Commission (CFTC) had obstructed effective oversight of investment banks and derivatives trading (only the US believes that it makes sense to regulate securities and derivatives separately).

Article 82 Where a securities firm conducts trading between its security self operation accounts and portfolio management accounts, or between different portfolio management accounts, and has no sufficient evidences to prove effective separation of these accounts is realized according to laws, it shall be punished according to the provisions prescribed in Article 220 of the Securities Law of the People s Republic of China.

C5 claims are for losses relating to bank accounts and stocks or securities.

The deposit given by the customer, all the securities that have been purchased through securities lending and borrowing, and all the funds from the sales of securities are collaterals to the securities firm, and shall be deposit to the customer securities guarantee account or the customer funds guarantee account and credited to the customer s credit granting account.

Even the New York Stock Exchange was affected for a time.

Early in 2005, the Government will analyse the feasibility of establishing an electronic stock exchange on St. Croix.

If a bank is too big to fail, regulators should go even further, and regulate proprietary traders compensation packages to ensure that risks and rewards are properly aligned. Hedge funds and other large investors must also be closely monitored to ensure that they don t build up dangerous imbalances.

Furthermore, original documents of that kind would be used frequently in the future for bank to bank transactions.

Bermuda is implementing a strategic plan to turn the Stock Exchange into a modern, fully electronic offshore exchange.

The bearer securities were kept in a safe deposit box at Handyfunds Bank in Youngland.

Glossary .

This settlement agreement on securities fraud charge released by the U.S. Securities and Exchange Commission (SEC) on Saturday would make investors relieved.