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Document Mentions (5 shared documents)
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es acknowledge that they have been advised that: (a) in the case of Transactions in which one of the parties is a broker or dealer registered with the Securities and Exchange Commission ("SEC') under Section 15 of the Securities Exchange Act of 1934 ("1934 Act'), the Securities Investor Protection Corporation has taken the position
I. (e) Paragraph I. (0 (g) Paragraph 2(p). (h) Paragraph 2(cc). Agency Transactions may not be effected under this Agreement and accordingly the Agency Annex will not apply. Transactions (including Buy/Sell Back Transactions) in respect of gilt-edged securities (as defined in the Gilts Annex, paragraph 1
2 mentions1 same-page
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es acknowledge that they have been advised that: (a) in the case of Transactions in which one of the parties is a broker or dealer registered with the Securities and Exchange Commission (-SEC) under Section 15 of the Securities Exchange Act of 1934 ("1934 Act"). the Securities Investor Protection Corporation has taken the position
Annex shall apply to all Transactions in Equities. (c) Paragraph I. Agency Transactions may not be effected under this Agreement and accordingly the Agency Annex will not apply. (d) Paragraph I. Transactions (including Buy/Sell Back Transactions) in respect of gilt-edged securities (as defined in the Gilts
2 mentions1 same-page
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es acknowledge that they have been advised that: (a) in the case of Transactions in which one of the parties is a broker or dealer registered with the Securities and Exchange Commission ("SEC') under Section 15 of the Securities Exchange Act of 1934 ("1934 Acf'). the Securities Investor Protection Corporation has taken the position
(iii) The Equities Annex shall apply to all Transactions in Equities. Agency Transactions may not be effected under this Agreement and accordingly the Agency Annex will not apply. Transactions (including Buy/Sell Back Transactions) in respect of gilt-edged securities (as defined in the Gilts Annex, paragraph 1
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2 mentions1 same-page
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ics acknowledge that they have been advised that: (a) in the case of Transactions in which one of the panics is a broker or dealer registered with the Securities and Exchange Commission ("SEC') under Section 15 of the Securities Exchange Act of 1934 ("1934 Act). the Securities Investor Protection Corporation has taken the position
ities Annex shall apply to all Transactions in Equities. Paragraph I. Agency Transactions may not be effected under this Agreement and accordingly the Agency Annex will not apply. Paragraph I. Transactions (including Buy/Sell Back Transactions) in respect of gilt-edged securities (as defined in the Gilts Anne
2 mentions1 same-page
Page ?Same page
es acknowledge that they have been advised that: (a) in the case of Transactions in which one of the parties is a broker or dealer registered with the Securities and Exchange Commission ("SEC") under Section 15 of the Securities Exchange Act of 1934 ("1934 Act"), the Securities Investor Protection Corporation has taken the position
Annex shall apply to all Transactions in Equities. (c) Paragraph 1. Agency Transactions may not be effected under this Agreement and accordingly the Agency Annex will not apply. (d) Paragraph 1. Transactions (including Buy/Sell Back Transactions) in respect of gilt-edged securities (as defined in the Gilts
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Mutual Connections (95)
Entities connected to both the Securities and Exchange Commission and the Agency Annex
Jeffrey Epstein
PERSON184 w/ the·4 w/ the
United States
LOCATION154 w/ the·5 w/ the
Bloomberg L.P.
ORGANIZATION103 w/ the·9 w/ the
Prince Andrew
PERSON79 w/ the·4 w/ the
Deutsche Bank
ORGANIZATION65 w/ the·2 w/ the
Deutsche Bank Securities Inc.
ORGANIZATION40 w/ the·5 w/ the
Frankfurt
LOCATION33 w/ the·9 w/ the
FDIC
ORGANIZATION31 w/ the·5 w/ the
Southern Trust Company
ORGANIZATION26 w/ the·3 w/ the
Department of Labor
ORGANIZATION18 w/ the·3 w/ the
Legal Department
ORGANIZATION10 w/ the·5 w/ the
Andrew Cuomo
PERSON13 w/ the·2 w/ the
the Bank of England
ORGANIZATION6 w/ the·9 w/ the
BA
Bond Annex
PERSON5 w/ the·9 w/ the
the Gilts Annex
ORGANIZATION5 w/ the·9 w/ the
ACKNOWLEDEMENTS
ORGANIZATION8 w/ the·5 w/ the
FDICIA
ORGANIZATION8 w/ the·5 w/ the
Barclays
ORGANIZATION8 w/ the·5 w/ the
Party A
ORGANIZATION6 w/ the·7 w/ the
the International Capital Market Association
ORGANIZATION8 w/ the·4 w/ the