Sentence examples for proprietary account from inspiring English sources

This paragraph (f)(3) shall apply to any account carried by the futures commission merchant, whether a customer, noncustomer, omnibus or proprietary account.

Second, regulators are concerned about the degree to which day-trading firms are actually acting as investment advisers, by lending their customers money for trading from a proprietary account or perhaps conducting some of the trades themselves.

Notwithstanding anything in the foregoing to the contrary, nothing contained herein shall be construed as limiting your right to assert any right of offset or lien on assets that are not Funds maintained in the Account(s), or to impose such charges against us or any proprietary account maintained by us with you.

The Treasury Services segment undertakes trading operations on the proprietary account, foreign exchange operations and derivatives trading both on the proprietary account and customer flows and borrowings.

The Treasury segment operations include investments in sovereign and corporate debt, equity and mutual funds, trading operations, derivative trading and foreign exchange operations on the proprietary account and for customers and central funding.

Interestingly, when discussing the "wealth to be gained" from insider trading, it is useful to recall that most of the profits in cases such as these, where the trades are occurring within the firm for the benefit of either firm clients and the firm's own proprietary account, do not end up in the hands of the perpetrator.

For example, in a 2008 Compliance Alert, SEC staff outlined best compliance practices with respect to trading in personal accounts and proprietary accounts.

Federal prosecutors have previously said in court that Mr. Madoff sometimes used cash from his Ponzi scheme to sustain his apparently legitimate brokerage firm, which handled securities trades for other Wall Street institutions and traded for its own proprietary accounts.

According to the filing, the commission said Goldman knew or should have known that the client's subaccounts maintained at the firm's unit "were actually accounts belonging to customers of the broker-dealer client and not the client's proprietary accounts".

The Volcker Rule restricts banks from effectively using federally guaranteed deposit money to trade on their own proprietary accounts (during the financial crisis prop desks at six big banks lost $15.8 billion in just five quarters).

The likes of Google and Microsoft have built many services tied to their own proprietary accounts, and they're going to be far more hesitant to give those up.