Example sentences of "of [art] securities and " in BNC.
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| 1 | ONE firm of stockbrokers accounted for a sixth of complaints and inquiries to the Complaints Bureau of the Securities and Futures Authority and the London Stock Exchange last year . |
| 2 | The Securities and Investments Board has welcomed the Royal Institution of Chartered Surveyors ' decision that its members should be authorised via membership of the Securities and Futures Authority , rather than the RICS seeking recognition in its own right . |
| 3 | Phillip Thorpe , deputy chief executive of the Securities and Futures Authority , has been seconded for six months to assist Andrew Large , chairman of the Securities and Investments Board , in his review of the way the SIB carries out its regulatory responsibilities . |
| 4 | Phillip Thorpe , deputy chief executive of the Securities and Futures Authority , has been seconded for six months to assist Andrew Large , chairman of the Securities and Investments Board , in his review of the way the SIB carries out its regulatory responsibilities . |
| 5 | Andrew Large , chairman of the Securities and Investments Board , is expected to ask the Government for stronger powers to prosecute fraud when he completes his review in March 1993 of the regulatory body 's responsibilities . |
| 6 | At the conference , Andrew Large , chairman of the Securities and Investments Board , and Anthony Nelson , Economic Secretary to the Treasury , signed undertakings on international cooperation with the Australian Securities Commission and the Securities and Futures Commission of Hong Kong . |
| 7 | The chance has come in a review conducted by Andrew Large , chairman of the Securities and Investments Board ( SIB ) , the body that sits at the apex of Britain 's regulatory structure . |
| 8 | This week Andrew Large , the chairman of the Securities and Investments Board ( SIB ) , published a report that acknowledged the defects in the regulatory regime set up by the 1986 Financial Services Act . |
| 9 | The sophistication and determination of the Securities and Investments Board , DTI , Serious Fraud Office ( SFO ) , and the Stock Exchange , have alerted insider 's fears of being prosecuted . |
| 10 | ( 1 ) the rules and regulations of the Securities and Exchange Commission under the Securities Exchange Act of 1934 ( ’ Exchange Act ’ ) governing trading while in possession of material , nonpublic information are , as required by such Act , necessary and appropriate in the public interest and for the protection of investors . |
| 11 | ‘ … each person to whom this report is being issued in the United Kingdom is a ‘ professional investor ’ ( for the purposes of the Financial Services ( Conduct of Business ) Rules 1987 of the Securities and Investments Board Limited ) or a person who carries on investment business for the purposes of the Financial Services Act 1986 … ’ |
| 12 | Lloyd 's responded to the criticism by appointing Sir David Walker , chairman of the Securities and Investment Board and a member of the Lloyd 's Council , to head an independent inquiry into allegations of malpractice . |
| 13 | The helpline service , , is provided by Stock Market member Wise Speke , which is a member of the Securities and Futures Authority . |
| 14 | The COB Rules of the Securities and Futures Authority primarily regulate firms that are members of SFA ( firms ) only in respect of business involving customers . |
| 15 | Now , it is by becoming and remaining the counterparty to contracts that LCH ensures performance by its own commercial strength and integrity , under the supervision of the Securities and Investments Board ( SIB ) , the regulatory agency under the 1986 Act . |
| 16 | The majority of those authorised under s 7 are members of the Securities and Futures Authority Limited ( SFA ) , and are bound by its regulatory rules . |
| 17 | May I support what my hon. Friend the Member for Birmingham , Selly Oak ( Mr. Beaumont-Dark ) has just said in urging the Government to give serious consideration to the establishment of a Securities and Exchange Commission in Britain . |