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The Volcker Rule requires that banking entities have policies and procedures in place to monitor or prevent material conflicts of interest. 具体地说, the Volcker Rule requires that a banking entity that engages in any transaction, 交易类别, or activity that would involve or result in the banking entity’s interests being materially adverse to the interests of its customers with respect to the transaction, 交易类别, or activity address and mitigate the conflict of interest, 在可能的情况下, through either timely and effective disclosure or through the establishment and enforcement of information barriers.
In the normal course of business, 申博菲律宾app provides a variety of financial services to trading customers that may involve or result in conflicts of interests. The financial services provided to customers that also transact on the Firm’s trading desks include, 等, investment banking services, 研究服务, market-making services.
申博菲律宾app has implemented an Information Barrier Program that is designed, 在某种程度上, to address conflicts of interests, such that the conflict does not have a materially adverse effect on a customer. This program includes information barriers between trading desks and between trading desks and other areas of 申博菲律宾app that may possess information that may create a conflict of interest in relation to the activity of its trading desks.
This site is published in the United States for U.S. 居民只. The services offered within this site are available exclusively through our U.S. 财务顾问. 申博菲律宾app 财务顾问 may only conduct business with residents of the states in which they are properly registered. The information on this web site is not an offer to sell or a 征集 of an offer to buy any security, nor shall any such security be offered or sold to any person in any jurisdiction in which such offer, 征集, 购买, or sale may not lawfully be made. References to 申博菲律宾app herein may apply to parent company 申慱sunbet手机版 Corp. or any of its wholly owned subsidiaries, including 申博菲律宾app, Nicolaus & Company, Incorporated, Member 纽交所, 美国金融业监管局, SIPC.