FIRM ELEMENT TRAINING - Securities Training Corporation
... In 2016, FINRA announced that it would begin issuing firms a surveillance report card to assess the effectiveness of their software systems in capturing and preventing market manipulation. The focus of the first report card is detecting layering and spoofing. The regulator will use its market survei ...
... In 2016, FINRA announced that it would begin issuing firms a surveillance report card to assess the effectiveness of their software systems in capturing and preventing market manipulation. The focus of the first report card is detecting layering and spoofing. The regulator will use its market survei ...
role of capital market
... continues to be a cause of concern. It has been ascertained that the total number of retail investors is much less than 1% of the total Indian population. While on one hand, the number of retail investors is low, on the other hand substantial amount of household savings are available which can be ch ...
... continues to be a cause of concern. It has been ascertained that the total number of retail investors is much less than 1% of the total Indian population. While on one hand, the number of retail investors is low, on the other hand substantial amount of household savings are available which can be ch ...
ARC - Aegon
... account, including adviser charges if we’re asked to facilitate these. Cash held here will accrue interest at a daily rate, on a daily basis, which will be credited monthly. Your clients need to maintain a minimum balance of 0.25% in their cash facility. It’s you and your clients’ responsibility to ...
... account, including adviser charges if we’re asked to facilitate these. Cash held here will accrue interest at a daily rate, on a daily basis, which will be credited monthly. Your clients need to maintain a minimum balance of 0.25% in their cash facility. It’s you and your clients’ responsibility to ...
The Predictive Ability of the Bond-Stock Earnings Yield Differential
... Exhibits A1–A10 in the appendix show the following for each of the five countries: stock market corrections (declines of more than 10%) and their durations, as well as the results of the strategies in terms of percent of time in the stock market, mean log return, standard deviation, Sharpe ratio, me ...
... Exhibits A1–A10 in the appendix show the following for each of the five countries: stock market corrections (declines of more than 10%) and their durations, as well as the results of the strategies in terms of percent of time in the stock market, mean log return, standard deviation, Sharpe ratio, me ...
Understanding Counterparty Risk on Total Return
... None of our TRI ETFs are expected to make any taxable distributions, which means they can offer greater tax efficiency than an ETF that physically buys and sell the securities that constitute the index it is tracking. All of our TRI ETFs track the total return version of their respective indices. Th ...
... None of our TRI ETFs are expected to make any taxable distributions, which means they can offer greater tax efficiency than an ETF that physically buys and sell the securities that constitute the index it is tracking. All of our TRI ETFs track the total return version of their respective indices. Th ...
NBER WORKING PAPER SERIES Sergey Iskoz Jiang Wang
... Information Identification without A Risk Model However, in this example, we do not need a risk model to identify the informed manager. In fact, simply by looking at the distribution of P&L, we should be able to tell who the informed manager is. Figure 2 shows the unconditional distribution of the P& ...
... Information Identification without A Risk Model However, in this example, we do not need a risk model to identify the informed manager. In fact, simply by looking at the distribution of P&L, we should be able to tell who the informed manager is. Figure 2 shows the unconditional distribution of the P& ...
Generating Earned Income (Foundation Building Best Practice Study)
... could be a foundation of support for impoverished children. For its first efforts CRY relied exclusively on donated products and services from artists, paper merchants, professional advertisers and publicists to print and market its cards. Local artist Sanat Surti donated the first two designs. CRY ...
... could be a foundation of support for impoverished children. For its first efforts CRY relied exclusively on donated products and services from artists, paper merchants, professional advertisers and publicists to print and market its cards. Local artist Sanat Surti donated the first two designs. CRY ...
Risk appetite – How hungry are you?
... Regulatory pressures, such as Basel II and a greater focus on corporate governance, have been a stimulus for many changes in the industry – one of these has been the recognition of the need to articulate risk appetite more clearly. On the face of it, this may seem easy to do. After all, is it not si ...
... Regulatory pressures, such as Basel II and a greater focus on corporate governance, have been a stimulus for many changes in the industry – one of these has been the recognition of the need to articulate risk appetite more clearly. On the face of it, this may seem easy to do. After all, is it not si ...
Workshop Summary
... Christie Stephenson also noted that some firms leave proxy voting to individual fund managers, meaning that different individuals within the same firm can cancel out each other’s votes. Attendees were encouraged to not simply default to external managers’ decisions, but rather, to be informed and in ...
... Christie Stephenson also noted that some firms leave proxy voting to individual fund managers, meaning that different individuals within the same firm can cancel out each other’s votes. Attendees were encouraged to not simply default to external managers’ decisions, but rather, to be informed and in ...
financial markets group
... increased purchase of securities via collective investment vehicles, such as mutual funds, pension funds and life insurance. Rather than providing funds directly via the financial market, households invest in collective vehicles to obtain diversification benefits and thus higher expected returns, wh ...
... increased purchase of securities via collective investment vehicles, such as mutual funds, pension funds and life insurance. Rather than providing funds directly via the financial market, households invest in collective vehicles to obtain diversification benefits and thus higher expected returns, wh ...
Accounting for Investments (AS 13) and
... Session overview • Similarly it is important for the Auditor to fully understand and apply the provisions of the Accounting Standard while auditing to ensure that Accounting Standard has bee applied in the accounting of investments. Similar is the case of Accounting for ...
... Session overview • Similarly it is important for the Auditor to fully understand and apply the provisions of the Accounting Standard while auditing to ensure that Accounting Standard has bee applied in the accounting of investments. Similar is the case of Accounting for ...
DOL Limited-scope Audit Engagement Letter
... The financial statements are fairly presented in conformity with U.S. GAAP, the notes include all disclosures required by laws and regulations to which the plan is subject, including the DOL Rules and Regulations for Reporting and Disclosure under ERISA, and the supplemental schedules referred to ab ...
... The financial statements are fairly presented in conformity with U.S. GAAP, the notes include all disclosures required by laws and regulations to which the plan is subject, including the DOL Rules and Regulations for Reporting and Disclosure under ERISA, and the supplemental schedules referred to ab ...
Degree of Leverage Ratio Analysis in the Iranian Banking Network
... operational risk and management acceptance degree of risks surrounding and tax impact and the extent of tax benefits for alternative funding to another, as well as taking into account the flexible financing structure, on the other hand, there are external factors that affect financing structure and ...
... operational risk and management acceptance degree of risks surrounding and tax impact and the extent of tax benefits for alternative funding to another, as well as taking into account the flexible financing structure, on the other hand, there are external factors that affect financing structure and ...
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
... ordinary course of business and were not acquired and are not held for the purpose of and do not have the effect of changing or influencing the control of the issuer of such securities and were not acquired and are not held in connection with or as a participant in any transaction having such purpos ...
... ordinary course of business and were not acquired and are not held for the purpose of and do not have the effect of changing or influencing the control of the issuer of such securities and were not acquired and are not held in connection with or as a participant in any transaction having such purpos ...
Financial Crises, Bank Risk Exposure and Government Financial
... example, as we discuss below, a number of authors have suggested that such a risky bank liability structure was ultimately the product of expectations the government will intervene to stabilize financial markets in a crisis, just as it just did recently. With the existing macroeconomic frameworks it ...
... example, as we discuss below, a number of authors have suggested that such a risky bank liability structure was ultimately the product of expectations the government will intervene to stabilize financial markets in a crisis, just as it just did recently. With the existing macroeconomic frameworks it ...
Credit Weekly - Emirates NBD
... rise to a conflict of interest that could affect the objectivity of this report. The securities covered by this report may not be suitable for all types of investors. The report does not take into account the investment objectives, financial situations and specific needs of recipients. Data included ...
... rise to a conflict of interest that could affect the objectivity of this report. The securities covered by this report may not be suitable for all types of investors. The report does not take into account the investment objectives, financial situations and specific needs of recipients. Data included ...
Importance of workplace relationships and attitudes toward
... change in physical asset management organizations It is no secret that organizations undertaking engineering (physical) asset management, like all other contemporary organizations, need to be constantly poised for organizational change. Effective asset management is able to positively affect public ...
... change in physical asset management organizations It is no secret that organizations undertaking engineering (physical) asset management, like all other contemporary organizations, need to be constantly poised for organizational change. Effective asset management is able to positively affect public ...
bank balance sheet optimization
... The financial market turmoil in 2007 and 2008 has led to one of the most severe financial crisis since the Great Depression in the 1930s and has had large repercussions on the real economy since. In the aftermath of this crisis, bank regulators presented two sets of new rules, Basel 2.5 and Basel II ...
... The financial market turmoil in 2007 and 2008 has led to one of the most severe financial crisis since the Great Depression in the 1930s and has had large repercussions on the real economy since. In the aftermath of this crisis, bank regulators presented two sets of new rules, Basel 2.5 and Basel II ...
american capital senior floating, ltd. - corporate
... Indicate by check mark whether the registrant has submitted electronically and posted on its corporate Web site, if any, every Interactive Data File required to be submitted and posted pursuant to Rule 405 of Regulation S-T during the preceding 12 months (or for such shorter period that the registra ...
... Indicate by check mark whether the registrant has submitted electronically and posted on its corporate Web site, if any, every Interactive Data File required to be submitted and posted pursuant to Rule 405 of Regulation S-T during the preceding 12 months (or for such shorter period that the registra ...
Investing in inventories
... can be met. But if the rise in demand is only expected to be temporary, the stronger demand is more likely to be met out of stocks. The desired stock level is also likely to be affected by a company’s financial position, just like any other form of investment. Other things being equal, higher intere ...
... can be met. But if the rise in demand is only expected to be temporary, the stronger demand is more likely to be met out of stocks. The desired stock level is also likely to be affected by a company’s financial position, just like any other form of investment. Other things being equal, higher intere ...