The restriction system is designed to identify the specific types of securities that the client has designated as either eligible or prohibited for purchase in their account.
交易限制系统在设计上是为了确认客户指明的有资格或者禁止从他们的账户进行购买的具体证券类别。
As such, he was in a position similar to Mr. Friehling, with an obligation to ensure the firm's internal controls were adequate and that the client funds and securities were properly protected.
也就是说他的位子跟Friehling差不多，他们的任务都是保证公司的内部监管并且为客户的资金和证券提供保障。
The trading settlement funds or securities of its client may not be defined as its insolvent assets or liquidation assets.
非因客户本身的债务或者法律规定的其他情形，不得查封、冻结、扣划或者强制执行客户的交易结算资金和证券。
A securities broker can only accept the commission of a sole securities company, and shall work exclusively in representing the securities company in client solicitation, client services, etc.
证券经纪人只能接受一家证券公司的委托，并应当专门代理证券公司从事客户招揽和客户服务等活动。
Article 2 a securities company may engage in client solicitation, client services, and other activities through their employees or by commissioning personnel who are not employees of the company.
第二条证券公司可以通过公司员工或者委托公司以外的人员从事客户招揽和客户服务等活动。
Article 38. Stock exchanges, securities companies, and securities registration and settlement institutions shall keep their client accounts confidential in.
第三十八条证券交易所、证券公司、证券登记结算机构必须依法为客户所开立的帐户保密。
E. C. is charging that Goldman created and marketed securities that were deliberately designed to fail, so that an important client could make money off that failure.
现在SEC指控高盛发明并销售刻意设计的亏损债券，以便某个重要客户在债券亏损中赚钱。
E. C. is charging that Goldman created and marketed securities that were deliberately designed to fail, so that an important client could make money off that failure.
现在SEC指控高盛发明并销售刻意设计的亏损债券，以便某个重要客户在债券亏损中赚钱。
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