On the other hand, the Nikko Group established Nikko Beans, the online securities firm
, in 1999 and actively entered the internet-trading business.
This category also includes claims (38) on, or guaranteed by, a qualifying securities firm
incorporated in the United States or other member of the OECD-based group of countries (39) provided that: the qualifying securities firm
has a long-term issuer credit rating, or a rating on at least one issue of long-term debt, in one of the three highest investment grade rating categories from a nationally recognized statistical rating organization; or the claim is guaranteed by the firm's parent company and the parent company has such a rating.
The lines that once delineated a bank from an insurance company, an insurance company from a bank, and a bank from a securities firm
have all but vanished.
Permitting a depository institution insured by the Federal Deposit Insurance Corporation to affiliate with a securities firm
, insurance company or other financial company.
So they own 5 percent of a securities firm
, 5 percent of a finance company, 5 percent of a variety of institutions.
The following are the three ways in which a 20 percent risk weight on a claim against a qualifying securities firm
And Citigroup, an agglomeration of a bank, a securities firm
and an insurance company, is the antithesis of what lawmakers sought to achieve in the 1930s, when legislation to divide the industry into heavily regulated fiefdoms was first enacted.
portfolio incorporate weak fundamentals, and many ratings are below pre-crisis levels.
The executive of a large-scale securities firm
pointed out that the relaxation of the US$50 million restriction for inward and outward foreign-currency remittance by securities firms
is a big boon for them.
Last May, he sold 15% of the bank's equity to the securities firm
of Wheat First Butcher Singer for "several millions of dollars.
The delivery settlement fund was established in 1996, in response to a major default on transaction delivery by a securities firm
, which disrupted market trading order.
an innovative online securities firm
that pioneered the offering of portfolios to investors and owns a number of patents on the method, announced today the launch of the mFOLIO Program of professionally managed personal portfolio accounts for the retail investor.