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。

youdao

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。

youdao

Mitchel Guttenberg, 41, an institutional client manager at UBS Securities, was charged with passing material--nonpublic information--to traders Erik Franklin, 39, formerly of Bear Stearns, and David Tavdy, 38, formerly of Assent, a New York broker-dealer.

FORBES: Helter-Skelter On Wall Street

Worse, lawsuits have raised disturbing questions about New Life, and the way it pays planners a commission on client donations may violate federal securities laws.

FORBES: The new giving game

We hold the securities so we can meet client demand.

FORBES: Dimon Speaks Truth On Lending And Subtly Attacks Volcker Rule