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" The affiliate conducts business pursuant to independent policies and procedures designed to inform customers and prospective customers of the affiliate that the affiliate is a separate organization from the bank and that investments recommended, offered... "
The Financial Services Competitiveness Act of 1995: Joint Hearings Before ... - Página 57
por United States. Congress. House. Committee on Commerce. Subcommittee on Telecommunications and Finance - 1995 - 322 páginas
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The Code of Federal Regulations of the United States of America

1989 - 614 páginas
...securities activities on behalf of the affiliate on the premises of the bank that involve customer contact; (5) The affiliate conducts business pursuant to independent...the bank nor are otherwise obligations of the bank. ' (d) Filing of notice. Every insured nonmember bank that intends to acquire or establish a subsidiary...
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Code of Federal Regulations: Containing a Codification of Documents of ...

1988 - 488 páginas
...securities activities on behalf of the affiliate on the premises of the bank that involve customer contact; (5) The affiliate conducts business pursuant to independent...the bank nor are otherwise obligations of the bank.' (d) Filing of notice. Every insured nonmember bank that intends to acquire or establish a subsidiary...
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Code of Federal Regulations: Containing a Codification of Documents of ...

2000 - 556 páginas
...investments recommended, offered or sold by the affiliate are not bank deposits, are not insured by the PDIC, and are not guaranteed by the bank nor are otherwise obligations of the bank. 7 (d) Filing of notice. Every insured nonmember bank that intends to acquire or establish a subsidiary...
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The Code of Federal Regulations of the United States of America

1993 - 680 páginas
...investments recommended, offered or sold by the affiliate are not bank deposits, are not insured by the PDIC, and are not guaranteed by the bank nor are otherwise obligations of the bank.7 (d) Filing of notice. Every insured nonmember bank that intends to acquire or establish a subsidiary...
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Code of Federal Regulations: Containing a Codification of Documents of ...

1985 - 766 páginas
...that involve customer contact; (5) the bank and affiliate do not share a common name or logo;8 and (6) the affiliate conducts business pursuant to independent...the bank nor are otherwise obligations of the bank.' (d) Filing of notice. Every insured nonmember bank that intends to acquire or establish a subsidiary...
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Code of Federal Regulations: Containing a Codification of Documents of ...

1986 - 954 páginas
...that involve customer contact; (5) the bank and affiliate do not share a common name or logo;8 and (6) the affiliate conducts business pursuant to independent...guaranteed by the bank nor are otherwise obligations of the bank.9 (d) Filing of notice. Every insured nonmember bank that intends to acquire or establish a subsidiary...
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Code of Federal Regulations: Containing a Codification of Documents of ...

1993 - 670 páginas
...procedures designed to inform customers and prospective customers of the affiliate that the af f iliate is a separate organization from the bank and that...guaranteed by the bank nor are otherwise obligations of the bank.1 (d) Filing of notice. Every insured nonmember bank that intends to acquire or establish a subsidiary...
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Bank Sales of Mutual Funds: Hearing Before the Subcommittee on ..., Volume 4

United States. Congress. House. Committee on Banking, Finance, and Urban Affairs. Subcommittee on Financial Institutions Supervision, Regulation, and Deposit Insurance - 1994 - 542 páginas
...underwritten or 'distributed by the bank's securities company. An insured nonmember bank is prohibited from becoming affiliated with any company that directly...insurance application or a change of bank control notice. For Release on Delivery 10:00 am EST March 8, 1994 Testimony of John P. La Ware Member, Board of Governors...
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Bank Sales of Mutual Funds: Hearing Before the Subcommittee on ..., Volume 4

United States. Congress. House. Committee on Banking, Finance, and Urban Affairs. Subcommittee on Financial Institutions Supervision, Regulation, and Deposit Insurance - 1994 - 548 páginas
...separate organization from the bank and that investments recommended, offered or sold by the subsidiary are not bank deposits, are not insured by the FDIC,...the bank nor are otherwise obligations of the bank. This definition is imposed to ensure the separateness of the subsidiary and the bank. This separation...
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The Code of Federal Regulations of the United States of America

1994 - 690 páginas
...separate organization from the bank and that investments recommended, offered or sold by the subsidiary are not bank deposits, are not insured by the FDIC,...the bank nor are otherwise obligations of the bank. (3) Company shall mean any corporation (other than a bank), any partnership, business trust, association,...
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