[PDF] Final Report - ESMA - Europa EU PDF 2015-esma-1464_-_final_report_-_draft_rts_and_its_on_mifid_ii_and

28 sept 2015 · 2 1 4 Post-trade transparency for trading venues and investment firms December 2015 and its addendum (2015/319) published on 18 convertible bonds, options, covered warrants or other similar financial derivative; are now composed of 4 letters instead of one as initially proposed in the CP III

8 déc 2015 · INVESTORS' OPTIONS TRADING LETTER DECEMBER 2015 For further information on the equity options tax regime, consult our guide

[PDF] Investment Letter - Laurus Investment Counsel

A good portfolio team can watch excellent investments be pummelled, but one learns There is no question that 2015 was a year of increased market volatility given today's unstable world We but September and December were nasty as well 41 million shares due to lucrative management stock options and awards”

[PDF] Representation Letter from Eurex Deutschland - SECgov

December 1, 2015 VIA E-MAIL AND FEDERAL EXPRESS The Class Relief defines a Foreign Options Market as a "non-U S derivatives market: (I) on which

[PDF] Jonathan Hill 15 December, 2015 Commissioner for Financial

15 déc 2015 · transparency to the overall benefit of investors and end users in European 6166 International Securities Identification Numbers (ISIN), as the sole option for commencement of trading in a financial instrument in a trading venue or ISIN for identification of derivatives which are outlined in this letter will

SPO MEDICAL INC - OTC Markets

EXPECTATIONS AS TO MARKET ACCEPTANCE OF THE COMPANY'S On the 31st December 2015, SPO Global entered into a Purchase Agreement with Elepho, Inc , a DE Investors should be aware that our stock may be illiquid convertible into shares of the Company's common stock at the option of the holder at

[PDF] for the year ended 31 December 2015 - RIT Capital Partners

RIT Capital Partners plc Report and Accounts December 2015 1 Company risks that confront investors are clearly considerable at a time when stock market valuations remain relatively high There are Note: This graph excludes exposure from currency options The non-executive Directors each have letters of

[PDF] Monthly Disciplinary Actions December 2015pdf - Disciplinary and

3 déc 2015 · investment objectives, financial background and risk tolerance Locy's suspension is in effect from October 5, 2015, through October 4, 2017 and engaged in unsuitable trading in nontraditional exchange-traded funds (ETFs) in firm also inaccurately reported other OTC options positions to the LOPR,