SEC Comment - The Committee For The Fiduciary Standard
... they pay for fees and expenses associated with their own plan, while 65% reported they pay no fees,… (and) 17% stated they do pay fees.” (g) RAND. The SEC’s 2008 Rand Report, “Investor and Industry Perspectives on Investment Advisers and Broker Dealers,” is widely cited for revealing that investors ...
... they pay for fees and expenses associated with their own plan, while 65% reported they pay no fees,… (and) 17% stated they do pay fees.” (g) RAND. The SEC’s 2008 Rand Report, “Investor and Industry Perspectives on Investment Advisers and Broker Dealers,” is widely cited for revealing that investors ...
Statement of Investment Policy and Objectives
... Where Smartshares makes investment decisions for a fund, Smartshares will generally not vote in respect of the assets held by the fund. However, Smartshares may vote when it considers that not voting will have a material adverse effect on investors (taking into consideration the size of the managed ...
... Where Smartshares makes investment decisions for a fund, Smartshares will generally not vote in respect of the assets held by the fund. However, Smartshares may vote when it considers that not voting will have a material adverse effect on investors (taking into consideration the size of the managed ...
attachment 1
... the price of the bonds was accurate and fair. Please include only amounts that were taken down by your firm (member orders by other firms are not to be included). In the past year, what are the three largest positions your firm has taken into its own inventory as a part of its involvement in negotia ...
... the price of the bonds was accurate and fair. Please include only amounts that were taken down by your firm (member orders by other firms are not to be included). In the past year, what are the three largest positions your firm has taken into its own inventory as a part of its involvement in negotia ...
Revisiting “Rational Design”: Preferences, Power, and the Design of
... Interestingly, a careful examination of the text of BITs reveals that the aforementioned dispute settlement provisions differ considerably across treaties, in ways that are not always recognized.1 Important treaty variation exists in three areas. First, in some BITs states provide advanced consent ...
... Interestingly, a careful examination of the text of BITs reveals that the aforementioned dispute settlement provisions differ considerably across treaties, in ways that are not always recognized.1 Important treaty variation exists in three areas. First, in some BITs states provide advanced consent ...
The swapito strikes back - BNP Paribas GlobalMarkets
... This document has been written by our strategy teams; it does not purport to be an exhaustive analysis, and may be subject to conflicts of interest resulting from their interaction with sales and trading which could affect the objectivity of this report. This document is non-independent research for ...
... This document has been written by our strategy teams; it does not purport to be an exhaustive analysis, and may be subject to conflicts of interest resulting from their interaction with sales and trading which could affect the objectivity of this report. This document is non-independent research for ...
AON CORP (Form: 11-K, Received: 07/01/1996 00
... Contributions to the Plan may be invested in one or more of the following investment funds: Money Market Fund - Invested principally in shares of the Money Market Portfolio of the Series Funds. The portfolio invests in various types of good quality money market securities including certificates of d ...
... Contributions to the Plan may be invested in one or more of the following investment funds: Money Market Fund - Invested principally in shares of the Money Market Portfolio of the Series Funds. The portfolio invests in various types of good quality money market securities including certificates of d ...
Present Values, Investment Returns and Discount Rates
... particular. The importance of the concept is universally recognized. Present values of various cash flows are extensively utilized in the pricing of financial instruments, funding of financial commitments, financial reporting, and other areas. A typical funding problem involves a financial commitmen ...
... particular. The importance of the concept is universally recognized. Present values of various cash flows are extensively utilized in the pricing of financial instruments, funding of financial commitments, financial reporting, and other areas. A typical funding problem involves a financial commitmen ...
Important Information about Hedge Funds
... not registered with the SEC under the Securities Act of 1933. Hedge fund advisers are not required to be registered investment advisers until the fund(s) they manager have $150 million or more in total assets. Lack of Liquidity: Ownership interests in hedge funds are considered to be illiquid. They ...
... not registered with the SEC under the Securities Act of 1933. Hedge fund advisers are not required to be registered investment advisers until the fund(s) they manager have $150 million or more in total assets. Lack of Liquidity: Ownership interests in hedge funds are considered to be illiquid. They ...
Chapter10
... A transfer price is the price charged when one segment (for example, a division) provides goods or services to another segment of the same company. • Transfer prices are necessary to calculate costs in a cost, profit, or investment center. • The buying division will naturally want a low transfer pri ...
... A transfer price is the price charged when one segment (for example, a division) provides goods or services to another segment of the same company. • Transfer prices are necessary to calculate costs in a cost, profit, or investment center. • The buying division will naturally want a low transfer pri ...
Insights into Evaluating Exchange Traded Funds
... progressively more onerous. Consider the fact that there were 648 product launches in 2010 alone helping to bring the number of industry offerings to over 2,600 with assets of US$1.6 trillion worldwide today.1 This growth has been fuelled by products that offer exposure to more diverse asset classes ...
... progressively more onerous. Consider the fact that there were 648 product launches in 2010 alone helping to bring the number of industry offerings to over 2,600 with assets of US$1.6 trillion worldwide today.1 This growth has been fuelled by products that offer exposure to more diverse asset classes ...
Living Annuity 3.4MB
... At retirement, you may need your living annuity to last for 20 years or longer. Therefore, contrary to popular belief, most retirees are still long term investors and need to have a long term approach when managing their investments. Investment risk is linked to the term of your investments. The lon ...
... At retirement, you may need your living annuity to last for 20 years or longer. Therefore, contrary to popular belief, most retirees are still long term investors and need to have a long term approach when managing their investments. Investment risk is linked to the term of your investments. The lon ...
Franklin High Yield Fund
... Source: Franklin Templeton Investments (FTI), as of 31 March 2017 unless otherwise noted, based on latest available data. Total combined Assets Under Management (Total AUM) combines the U.S. and non-U.S. AUM of the investment management subsidiaries of the parent company, Franklin Resources, Inc. (F ...
... Source: Franklin Templeton Investments (FTI), as of 31 March 2017 unless otherwise noted, based on latest available data. Total combined Assets Under Management (Total AUM) combines the U.S. and non-U.S. AUM of the investment management subsidiaries of the parent company, Franklin Resources, Inc. (F ...
Co-investments in funds of funds and separate accounts
... potential co-investor and place an important relationship at risk. Another myth exists with regard to a potential coinvestor’s rights in a transaction. Some perceive the co-investor as a marginalised player in deals. The reality is that a fine line exists between a co-investor allowing the sponsor t ...
... potential co-investor and place an important relationship at risk. Another myth exists with regard to a potential coinvestor’s rights in a transaction. Some perceive the co-investor as a marginalised player in deals. The reality is that a fine line exists between a co-investor allowing the sponsor t ...
F D I
... Protecting the poor from bad investment decisions and financial volatility. While foreign investment can be critical for rapid growth, critics fear that the gains from productivity improvements are transferred abroad. However, this is not the case when foreign investors operate under competitive con ...
... Protecting the poor from bad investment decisions and financial volatility. While foreign investment can be critical for rapid growth, critics fear that the gains from productivity improvements are transferred abroad. However, this is not the case when foreign investors operate under competitive con ...
malta 2016 - HFM Global
... wholesale-denominated debt securities to trade on an EU regulated market. Soundly structured, securitisation is an important channel for diversifying funding sources and enabling a broader distribution of risk by allowing lenders such as banks to transfer the risk of some exposures to other banks, o ...
... wholesale-denominated debt securities to trade on an EU regulated market. Soundly structured, securitisation is an important channel for diversifying funding sources and enabling a broader distribution of risk by allowing lenders such as banks to transfer the risk of some exposures to other banks, o ...
What it Means to be an ERISA Fiduciary
... in providing advice for SEC purposes, the RIA in many cases will be acting as a fiduciary for ERISA purposes. However, this is not always the case. The ERISA fiduciary definition of investment advice may be narrower than the Advisers Act definition of advice in many cases. For example, simply advisi ...
... in providing advice for SEC purposes, the RIA in many cases will be acting as a fiduciary for ERISA purposes. However, this is not always the case. The ERISA fiduciary definition of investment advice may be narrower than the Advisers Act definition of advice in many cases. For example, simply advisi ...
Financing Infrastructure - Inter
... The relationship between public infrastructure investment and fiscal balances is usually analyzed using contemporaneous correlations (that is, by examining how variables change during the same period, generally within a given year). This approach ignores the nature of the production of infrastructu ...
... The relationship between public infrastructure investment and fiscal balances is usually analyzed using contemporaneous correlations (that is, by examining how variables change during the same period, generally within a given year). This approach ignores the nature of the production of infrastructu ...
Consumer finance companies
... Only the most well-known finance companies have been able to issue commercial paper As secured commercial paper has become more popular, most finance companies have access to this market Most finance companies issue commercial paper using commercial paper dealers ...
... Only the most well-known finance companies have been able to issue commercial paper As secured commercial paper has become more popular, most finance companies have access to this market Most finance companies issue commercial paper using commercial paper dealers ...
Trends in Institutional Investor Use of Fixed Income ETFs
... “At times active managers have difficulty beating their benchmarks and ETFs are considerably less expensive.” – Pension fund ...
... “At times active managers have difficulty beating their benchmarks and ETFs are considerably less expensive.” – Pension fund ...
Russell Investments` 2012 Global Survey on Alternative Investing
... The purpose of the Russell Investments 2012 Global Survey on Alternative Investing (“Survey”) was to assess the primary factors that influence institutional investors as they evaluate and make decisions about alternative investments, within the context of their objectives for their institutions. Rus ...
... The purpose of the Russell Investments 2012 Global Survey on Alternative Investing (“Survey”) was to assess the primary factors that influence institutional investors as they evaluate and make decisions about alternative investments, within the context of their objectives for their institutions. Rus ...
International Investment Forum 2013 “Invest in Moldova”
... The event program is focused on plenary sessions and panel discussions on the following topics: Moldovan investment climate characteristics, privatization and public-private partnerships, Moldo investment projects, investment opportunities in Moldovan agribusiness sector, investments in M energy eff ...
... The event program is focused on plenary sessions and panel discussions on the following topics: Moldovan investment climate characteristics, privatization and public-private partnerships, Moldo investment projects, investment opportunities in Moldovan agribusiness sector, investments in M energy eff ...
Reporting Standard ARS 720.5 ABS/RBA Equity Securities Held
... due date means the last day of the 28 calendar days provided for in paragraph 10 or, if applicable, paragraph 12. reporting period means a quarter ended 31 March, 30 June, 30 September or 31 December as provided for in paragraph 9 or, if applicable, paragraph 11. ...
... due date means the last day of the 28 calendar days provided for in paragraph 10 or, if applicable, paragraph 12. reporting period means a quarter ended 31 March, 30 June, 30 September or 31 December as provided for in paragraph 9 or, if applicable, paragraph 11. ...
Revisiting The Inadvertent Investment Company
... While the topic of financial regulation has recently experienced a resurgence in interest, one area that historically has received little attention and continues to exist in relative obscurity is the application of the Investment Company Act of 1940 (the “Company Act”) to commodity pools, as opposed ...
... While the topic of financial regulation has recently experienced a resurgence in interest, one area that historically has received little attention and continues to exist in relative obscurity is the application of the Investment Company Act of 1940 (the “Company Act”) to commodity pools, as opposed ...
Proxy Advisory Business: Apotheosis or Apogee?
... best practices and standards within the corporate governance community. Their adoption of new “best” practices as part of their voting policies validates the practice as being truly “best,” and gives the practice additional weight and legitimacy. In addition to their key role in the creation and imp ...
... best practices and standards within the corporate governance community. Their adoption of new “best” practices as part of their voting policies validates the practice as being truly “best,” and gives the practice additional weight and legitimacy. In addition to their key role in the creation and imp ...
International Accounting Standard 28 Investments in Associates and
... An associate is an entity over which the investor has significant influence. Consolidated financial statements are the financial statements of a group in which assets, liabilities, equity, income, expenses and cash flows of the parent and its subsidiaries are presented as those of a single economic ...
... An associate is an entity over which the investor has significant influence. Consolidated financial statements are the financial statements of a group in which assets, liabilities, equity, income, expenses and cash flows of the parent and its subsidiaries are presented as those of a single economic ...