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Section 2 Securities Brokerage Business

Real estate brokerage and misc. services

According to the Act, the export, transit or brokerage of defence materiel is subject to specific authorization (export and brokerage licence).

Foreign exchange brokerage and activities relating to the foreign exchange market

The custody, issuance, distribution, clearing, negotiation, brokerage or management of securities

1. commission and brokerage fee except purchase commission to be borne by the buyer

I. The reception, brokerage, and investment of third parties' funds in Brazilian or foreign currency

Written inquiries were sent to seven insurers in Kuwait with whom the claimant had brokerage relations.

Both confirmed the brokerage arrangements with the claimant, but only one addressed the issue of liability for premiums.

(e) Analysis of the value and cost of an array of issues related to the investment process, from research to brokerage.

Does this investment account have a brokerage account? Check the mark if this investment account has an associated account for money that is not invested. Uncheck it if you do not use this account for active stock brokerage. You should also uncheck it if the account is not maintained by a bank or broker.

Article 37 If a securities firm is engaged in securities brokerage business, it should audit whether capital and securities in customer s account are sufficient or not.

Article 61 The securities firm shall not provide financing or warranty to other people using the assets of the securities brokerage customers or securities assets management customers.

Also required to report were those involved in securities brokerage and related activities insurance companies, brokers and agents, commercial casinos and gambling houses and real estate agencies.

Small capitalization equity investments require frequent visits to companies for purposes of research as less information is provided by investment advisers and brokerage houses on these types of investments.

Seventy one States have also described their arms brokerage systems, though most without explaining how these systems are used to prevent the acquisition of arms by listed individuals and entities.

No units or individuals shall force, incite, assist or accept the securities firm to provide financing or warranty with the assets of the securities brokerage customers or securities assets management customers.

Article 38 If a securities firm is engaged in securities brokerage business, it can entrust staff outside of the securities firm as securities broker, engaging in attracting and providing service for customers as agent.

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.

(2) Where any shareholder and actual holder of a securities firm force, incite, assist or accept the securities firm to provide financing or warranty with assets of stock brokerage clients or stock asset management clients

By representing a large range of clients and a diverse spread of risks, brokerage firms are better placed to negotiate with underwriters, since they have greater leverage in achieving favourable policy conditions and premium rates.

The relevant economic sanctions and arms embargoes are listed in annexes of the general guidelines for export, transit and brokerage of defence materiel, which are kept up to date by the Finnish Ministry for Foreign Affairs.

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.

The on line databases and partnership brokerage facilities of the UNIDO Exchange will be expanded and further integrated in the work of the investment and technology programme and the ITPO network, as a major tool to integrate activities under different programmes and increase effectiveness and impact.

15 The point here is not to prevent foreign direct investors from operating in a local financial sector, but to limit foreign financial inflows (for example, direct investment might be permitted in local brokerage houses, while foreign purchases on the local stock exchange might not be allowed).

Article 20 If a securities firm has two or more kinds of securities brokerage business, securities assets management business, financing with capital and securities, securities underwriting, securities sponsors, its board should set up remuneration and nomination committee, auditing committee and risk control committee to perform rights prescribed in company regulation.

The GATS proposals on energy services classification capture services such as wholesale trade services, retailing services and storage services they refer to sales of fuels and wholesale brokerage (CPC 62113) wholesale trade services of solid, liquid and gaseous fuels and related products (CPC 62271) and retailing services of fuel oil, bottled gas, coal, and woods (CPC 63297).

Article 142 Anyone who violates the provisions of this Law, and illegally transacts insurance agent business or insurance brokerage business without an insurance agent license or insurance broker license, shall be subject to action by the financial supervision and regulation department, and forfeiture of illegal gains, and a fine of not less than five, nor more than ten times as much as the illegal gains.

With the ban on timber and diamond exports in force, rubber production presently constitutes the largest official sector of the Liberian economy, with the major rubber producers (Firestone, Liberian Agricultural Company, Cavalla Rubber Company and William V. S. Tubman Rubber Estate) providing direct employment for 10,000 to 15,000 Liberians and providing inputs, latex purchasing brokerage and extension services to a further 5,000 to 8,000 smallholders.