投资顾问业务

美林证券的FC模式是我国券商大力发展投资顾问业务最值得借鉴的一种模式。

Especially Merrill Lynch FC mode is one of the most worthy mode for domestic securities firms to learn and develop our own broking business .

上述罚金包括了向美国证券交易委员会（SEC）支付的2亿美元，从而就瑞银从事未登记经纪自营商和投资顾问业务的诉讼达成和解。

Included in the monetary penalties is a $ 200 million payment to the Securities and Exchange Commission to settle charges that UBS acted as an unregistered broker-dealer and investment adviser .

其它公司则合并了资产管理与投资顾问业务，与台湾本地银行联手建立银行保险业务（bancassurance），登记发行大量新的离岸产品。

Others have combined their asset management and investment consulting businesses , established bancassurance alliances with local lenders and registered scores of new offshore products .

监管部门发布的《证券投资顾问业务暂行规定》为券商经纪服务转型带来了指引，投资顾问的推出成为提升专业化理财和个性化咨询服务的关键。

The regulatory authorities publish " The securities investment consulting business provisional regulations " which give guidelines for securities trader brokerage service transformation , the introduction of investment advisers become the key to enhance the specialized financial management and personalized consulting services .

贝兰克梵当时主张，高盛应打破投资、顾问和交易业务之间的界限。

By then , Mr Blankfein was arguing for Goldman blurring the boundaries between its investing , advising and trading sides .

关于虚设的各种交易，就是我投资顾问行骗的这块业务，我都向我的投资顾问客户收取每股0.04美元的佣金。

In connection with the purported trades , I caused the fraudulent investment advisory side of my business to charge the investment advisory clients $ 0.04 per share as a commission .

证券投资顾问事业除担任销售机构者外，办理境外基金之投资顾问业务，应与总代理人签订提供信息合作契约。

The securities investment consulting enterprise engaging in the investment consulting business of the offshore funds , unless it is acting as a sales agent , must sign an information cooperation agreement with the general agent .