Treating Customers Fairly Policy Statement Forex Capital Markets Limited Treating Customers Fairly Policy Statement The fair treatment of customers is one of the key principles of the Financial Conduct Authority in the

Source URL: docs.fxcorporate.com

• Foreign exchange companies
• Finance
• Money
• Business
• FXCM
• Foreign exchange market

Reference to “Capital Market Authority” circulardated 1 JanDear Mutual Funds Investor, Know Your Rights

Source URL: www.hsbcsaudi.com

• Finance
• Money
• Economy
• Investment
• Financial services
• Funds
• Investment fund
• Net asset value

PETER H. SCHWARTZ Partnerfax EXPERTISE Asset Management, Business Formation, Corporate Governance, Mergers & Acquisitions, Private Equity & Venture Capital, and Public

Source URL: www.dgslaw.com

• 76th United States Congress
• Investment Company Act
• Stock market
• DoddFrank Wall Street Reform and Consumer Protection Act
• Financial Industry Regulatory Authority
• Insider trading
• Public Company Accounting Oversight Board
• U.S. Securities and Exchange Commission
• Investor Protection and Securities Reform Act

Christina Sinclair Head of Institutional Business Policy The Financial Services Authority 25 The North Colonnade Canary Wharf London E14 5HS

Source URL: www.euroirp.com

• Corporate finance
• Stock market
• Initial public offering
• Investment
• Investment banking
• Financial markets
• Equity securities
• Renaissance Capital
• Initial public offering of Facebook

Regulatory Consistency Assessment Programme (RCAP) - Assessment of Basel III G-SIB framework and review of D-SIB frameworks - Switzerland

Source URL: www.bis.org

• Bank regulation
• Systemic risk
• Financial regulation
• Basel II
• Economic globalization
• Systemically important financial institution
• Basel III
• Capital requirement
• Basel Committee on Banking Supervision
• Basel I
• Probability of default
• Swiss Financial Market Supervisory Authority

2016 General Disclosures Daiwa Capital Markets America Inc. Dear Valued Customer, We are taking this opportunity to make certain disclosures to you ("You" or "Client") and remind you of certain important SEC and SRO rule

Source URL: www.us.daiwacm.com

• Financial markets
• Stock market
• Self-regulatory organizations
• United States securities law
• Financial services
• Broker-dealer
• Algorithmic trading
• Securities Investor Protection Corporation
• Order
• Day trading
• Financial Industry Regulatory Authority
• NASDAQ

RAR European Regulatory Summary - August 2015 There has been a significant amount of regulatory activity, particularly in the areas of CRD, EMIR and Solvency II including: public consultation on impact of CRR (Capital R

Source URL: www.mtsmarkets.com

• Economy
• Systemic risk
• Finance
• Money
• European Union directives
• Financial regulation
• Financial risk
• Corporate law
• European Insurance and Occupational Pensions Authority
• Capital Requirements Directives
• Capital Requirements Regulation and Directive
• European Market Infrastructure Regulation

PDF Document

Source URL: www.us.daiwacm.com

• Financial markets
• Stock market
• United States securities law
• Self-regulatory organizations
• Broker-dealer
• Fixed income market
• Order
• Financial Industry Regulatory Authority
• Security
• Net capital rule
• Manning rule

TD UNITED NATIONS United Nations

Source URL: unctad.org

• Private law
• Corporate governance
• Capital Market Authority
• Corporation
• Regulatory compliance
• Franchising
• Bank regulation
• Nairobi Stock Exchange
• Intergovernmental Working Group of Experts on International Standards of Accounting and Reporting
• Business
• Corporations law
• Law

Joint Press Release by the Bank of Israel, the Capital Market, Insurance and Savings Department, the Israel Tax Authority, the Israel Securities Authority, and the Israel Money Laundering and Terror Financing Prohibition

Source URL: ozar.mof.gov.il