financial instruments and exchange law

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9.958 documents for financial instruments and exchange law

- Nomura Office Fund Announces Asset Management Company's Application for Registration of Change.
... to apply to the Commissioner of the Financial Services Agency for the registration of change pur... 31, Paragraph 4 of the Financial Instruments and Exchange Law. 1. Summary of Application for Re...
- Business Wire
- March 03, 2011
- Deutsche Borse AG and NYSE Euronext Present at Sandler O'Neill 2011 Global Exchange & Brokerage Conference.
..."We are confident that the financial benefits and long-term growth potential made possi...3 (i) of the Financial Instruments and Exchange Act of Japan (Law No. 25 of 1948, as ...
- Business Wire
- June 10, 2011
- Code, Crash, and Open Source: The Outsourcing of Financial Regulation to Risk Models and the Global Financial Crisis
The revolution in quantitative finance that occurred over the last two decades produced models that enabled the rapid growth of securitization and derivatives. This Article demonstrates that financial regulators delegated or outsourced to these computer-based risk models the responsibility of regulating a wide range of risk transfers in the economy - from consumer finance to global financial markets. These risk models failed spectacularly in the global financial crisis that started in the subprime mortgage market, and this outsourcing of regulation exacerbated the crisis. To understand the crisis, the failure of risk models, and the dangers of regulatory outsourcing, it is helpful to sketch out the system by which mortgages are connected to asset-backed securities, derivatives, and fina...

... parts of this risk to counterparties in exchange for paying premiums to those counterparties.4. Sec... the complexity posed by new financial instruments and awed by the promise of new financial engineeri...
- Washington Law Review
- Vol. 84 Nbr. 2, May 2009

- NYSE Euronext welcomes German Federal Financial Supervisory Authority (BaFin) approval of merger of Deutsche Borse and NYSE Euronext.
...The company's exchanges in Europe and the United States trade equities, fu...3 (i) of the Financial Instruments and Exchange Act of Japan (Law No. 25 of 1948, as ...
- Business Wire
- September 12, 2011
- Commissioner Paul S. Atkins Delivers Remarks On the Sec's Role in Globalization of the Capital Markets at the American Chamber of Commerce in Tokyo, Japan
..., AS RELEASED BY THE SECURITIES AND EXCHANGE COMMISSION . OCTOBER 16, 2007. SPEAKER: SEC COMMI...I appreciate the efforts of the Financial Services Committee and the Capital Markets Subcomm... in accordance with Japan's Financial Instruments and Exchange Law, and second in connection with th...
- Political Transcript Wire
- August 21, 2009
- NYSE Euronext Announces Date for Second Quarter 2011 Earnings Release and Conference Call.
... (NYX) is a leading global operator of financial markets and provider of innovative trading technollogies. The company's exchanges in Europe and the United States trade equities, fu...3 (i) of the Financial Instruments and Exchange Act of Japan (Law No. 25 of 1948, as ...
- Business Wire
- June 13, 2011
- Maximized monitoring: continuous audit technology can help identify changing conditions and reduce organizational risk.
DURING THE LAST FEW YEARS, GLOBAL FINANCIAL COMPANIES AND investment banks have taken billions... of financial firms and new instruments lead to unpriceable uncertainty rather than pricea...--such as the Financial Instruments and Exchange Law in Japan and the Budget Measures Act in Canada...
- Internal Auditor
- Vol. 67 Nbr. 3, June 2010
- ISS Proxy Advisory Services Recommends NYSE Euronext Shareholders Vote 'For' Combination with Deutsche Boerse AG.
... transactions, including those among exchange operators. Moreover, the post closing ownership sp... offer document with the German Federal Financial Supervisory Authority (Bundesanstalt fuer Finanzdi...3 (i) of the Financial Instruments and Exchange Act of Japan (Law No. 25 of 1948, as ...
- Business Wire
- June 27, 2011
- Japan Watchdogs May Fine Foreign Funds for Insider Trading
TOKYO (Reuters) - Japan's financial regulators are planning to levy fines on foreign investment funds that engage in insider trading and other improper market activities, the Nikkei business daily reported. The Financial Services Agency and the Securities and Exchange Surveillance Commission will ramp up oversight on transactions to clamp down on illicit practices, the newspaper said.

... the changes in the revised Financial Instruments and Exchange Law slated for submission next year, ...
- Reuters Hedgeworld
- December 15, 2011
- Chiyoda Announces Consolidated Financial Results for the Second Quarter of the Fiscal Year Ending March 31, 2012.
...First Section of the Tokyo Stock Exchange. Stock code:. 6366. URL:. http://www.chiyoda-corp.... statements based on the Financial Instruments and Exchange Law has not been completed at the tim...
- Business Wire
- November 10, 2011