Chapter One * Introduction - Mutual Fund Directors Forum
... This has no connection with securities lending as, by its nature, it is a sale by someone who does not have, and has no intention of obtaining, the security they are selling. This practice has now been banned by a number of regulators worldwide and has also been condemned by the international securi ...
... This has no connection with securities lending as, by its nature, it is a sale by someone who does not have, and has no intention of obtaining, the security they are selling. This practice has now been banned by a number of regulators worldwide and has also been condemned by the international securi ...
Chapter 2 Securities Markets and Transactions
... 1. Public offering: in which the firm offers its securities for sale to public investors. 2. Rights offering: in which the firm offers shares to existing stockholders on a pro-rata basis 3. Private placement: in which the firm sell securities directly without SEC registration to select group of priv ...
... 1. Public offering: in which the firm offers its securities for sale to public investors. 2. Rights offering: in which the firm offers shares to existing stockholders on a pro-rata basis 3. Private placement: in which the firm sell securities directly without SEC registration to select group of priv ...
Calvert High Yield Bond Fund
... Mortgage-Backed Security Risk (Government-Sponsored Enterprises). Debt and mortgage-backed securities issued by government-sponsored enterprises (“GSEs”) such as the Federal National Mortgage Association (“FNMA”) and the Federal Home Loan Mortgage Corporation (“FHLMC”) are neither insured nor guaran ...
... Mortgage-Backed Security Risk (Government-Sponsored Enterprises). Debt and mortgage-backed securities issued by government-sponsored enterprises (“GSEs”) such as the Federal National Mortgage Association (“FNMA”) and the Federal Home Loan Mortgage Corporation (“FHLMC”) are neither insured nor guaran ...
Investment-Guidelines-First-Draft-Sep-08-2015
... b) Assure that such investments are adequately liquid to meet the operational needs of the CAC; c) Assure that an adequate system of internal control is maintained; and d) Assure that such investments produce a reasonable rate of return. The primary objectives of this portfolio are: (1) preservation ...
... b) Assure that such investments are adequately liquid to meet the operational needs of the CAC; c) Assure that an adequate system of internal control is maintained; and d) Assure that such investments produce a reasonable rate of return. The primary objectives of this portfolio are: (1) preservation ...
View PDF Version - Freegold Ventures Limited
... This news release contains “forward-looking information” which may include, but is not limited to, statements with respect to the Offering, including its expected timing of completion, the receipt of required regulatory approvals and the use of net proceeds therefrom. Often, but not always, forward- ...
... This news release contains “forward-looking information” which may include, but is not limited to, statements with respect to the Offering, including its expected timing of completion, the receipt of required regulatory approvals and the use of net proceeds therefrom. Often, but not always, forward- ...
Cross Listing Requirement - Capital Markets and Securities Authority
... d) Protection of minority shareholders in instances where their rights have been infringed by the company and in cases of impending takeovers, mergers or acquisitions; e) Appointment of directors/managers and auditors; f) Convening of the meetings of the shareholders and shareholders rights of votin ...
... d) Protection of minority shareholders in instances where their rights have been infringed by the company and in cases of impending takeovers, mergers or acquisitions; e) Appointment of directors/managers and auditors; f) Convening of the meetings of the shareholders and shareholders rights of votin ...
Sun Pharmaceuticals (SUNPHA)
... of 8-10% also looks a bit conservative given the residual traction from gGleevec (four months exclusivity), Japanese traction from H2 and likely product launches in H2FY17 from Halol (assuming USFDA resolution). This indicates that the management is expecting some genuine pricing pressure in the US ...
... of 8-10% also looks a bit conservative given the residual traction from gGleevec (four months exclusivity), Japanese traction from H2 and likely product launches in H2FY17 from Halol (assuming USFDA resolution). This indicates that the management is expecting some genuine pricing pressure in the US ...
Kurzinformation Simplified Prospectus iShares eb
... The unit value can fluctuate. Investors may not recover the full value of their investment. If the index falls in value, causing the value of the Investment Fund to fall, the Company’s fund management will not attempt to limit losses through hedging transactions or sales of equities (i.e. the fund i ...
... The unit value can fluctuate. Investors may not recover the full value of their investment. If the index falls in value, causing the value of the Investment Fund to fall, the Company’s fund management will not attempt to limit losses through hedging transactions or sales of equities (i.e. the fund i ...
chapter 7
... Government raise funds : Issuance of non-interest bearing. Primary Reason : IB want to hold liquid papers meet statutory liquidity requirements and investment (To park idle fund). ...
... Government raise funds : Issuance of non-interest bearing. Primary Reason : IB want to hold liquid papers meet statutory liquidity requirements and investment (To park idle fund). ...
American Funds® IS US Govt/AAA
... to perform as expected, which may cause the portfolio to lose value or underperform investments with similar objectives and strategies or the market in general. Bank Loans Investments in bank loans, also known as senior loans or floating-rate loans, are rated below-investment grade and may be subjec ...
... to perform as expected, which may cause the portfolio to lose value or underperform investments with similar objectives and strategies or the market in general. Bank Loans Investments in bank loans, also known as senior loans or floating-rate loans, are rated below-investment grade and may be subjec ...
Grupo Supervielle SA
... Grupo Supervielle S.A., together with our subsidiary Banco Supervielle S.A. (collectively "Supervielle"), has resolved to accept an offer received from Ciudad Microempresas S.A., a company whose shareholders are Corporación Buenos Aires Sur and Banco de la Ciudad de Buenos Aires, to purchase the tot ...
... Grupo Supervielle S.A., together with our subsidiary Banco Supervielle S.A. (collectively "Supervielle"), has resolved to accept an offer received from Ciudad Microempresas S.A., a company whose shareholders are Corporación Buenos Aires Sur and Banco de la Ciudad de Buenos Aires, to purchase the tot ...
WCI Communities, Inc. (Form: SC 13G/A, Received
... * The remainder of this cover page shall be filled out for a reporting person’s initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter the disclosures provided in a prior cover page. The information requi ...
... * The remainder of this cover page shall be filled out for a reporting person’s initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter the disclosures provided in a prior cover page. The information requi ...
Financial Management: Principles and Applications
... fund that tracks an index such as the Dow Jones Industrial Average or the S & P 500. An index fund tracking the DJIA, for example, will automatically purchase stocks in the same percentage that they are used to determine the Dow Jones Industrial Average. Owning an index fund reduces costs, because t ...
... fund that tracks an index such as the Dow Jones Industrial Average or the S & P 500. An index fund tracking the DJIA, for example, will automatically purchase stocks in the same percentage that they are used to determine the Dow Jones Industrial Average. Owning an index fund reduces costs, because t ...
H R Khan: Promoting retail investor participation in government bonds
... competition from other instruments, many of them having tax benefits, such as, small savings schemes from the Government like Savings bonds and National Savings Certificates (NSCs). These instruments are targeted at the retail investors and the effective return on these instruments work out to be hi ...
... competition from other instruments, many of them having tax benefits, such as, small savings schemes from the Government like Savings bonds and National Savings Certificates (NSCs). These instruments are targeted at the retail investors and the effective return on these instruments work out to be hi ...
naic blanks (e) working group - National Association of Insurance
... General Classifications Common Stock Only: Industrial and Miscellaneous (Unaffiliated): All unaffiliated common stocks that are not mutual funds or money market mutual funds. Include Public Utilities, Banks, Trusts and Insurance Companies. Mutual Funds: All investments in shares of funds regulated a ...
... General Classifications Common Stock Only: Industrial and Miscellaneous (Unaffiliated): All unaffiliated common stocks that are not mutual funds or money market mutual funds. Include Public Utilities, Banks, Trusts and Insurance Companies. Mutual Funds: All investments in shares of funds regulated a ...
Unilife Corp (Form: 8-K, Received: 12/05/2011 09:56
... First organ delivery device scheduled to enter into drug clinical trials with pharmaceutical partner in early 2012 Strong financial opportunity with U.S. and international prevalence rates for the target disease state being very high U.S. treatment costs exceeding $30 billion Device helps enable dr ...
... First organ delivery device scheduled to enter into drug clinical trials with pharmaceutical partner in early 2012 Strong financial opportunity with U.S. and international prevalence rates for the target disease state being very high U.S. treatment costs exceeding $30 billion Device helps enable dr ...
FIRM ELEMENT TRAINING - Securities Training Corporation
... Trading has gone from seconds to microseconds, putting technological innovation speeding ahead of regulation. Algorithms and high-speed trading systems can invite abuse. Armed with advanced surveillance systems such as MIDAS and CAT that can record events to the microsecond, the SEC and SROs are bet ...
... Trading has gone from seconds to microseconds, putting technological innovation speeding ahead of regulation. Algorithms and high-speed trading systems can invite abuse. Armed with advanced surveillance systems such as MIDAS and CAT that can record events to the microsecond, the SEC and SROs are bet ...
Important information on Fidelity Advisor Stable Value Portfolio
... Duration: Duration is a measure of a security's price sensitivity to changes in interest rates. Duration differs from maturity in that it considers a security's interest payments in addition to the amount of time until the security reaches maturity, and also takes into account certain maturity short ...
... Duration: Duration is a measure of a security's price sensitivity to changes in interest rates. Duration differs from maturity in that it considers a security's interest payments in addition to the amount of time until the security reaches maturity, and also takes into account certain maturity short ...
The Islamic Finance and Markets Review – the Cayman
... b Any debt or obligation incurred by the GP in the conduct of the business of an ELP is a debt or obligation of the ELP. c In order to meet such debts or obligations, the GP may call on the capital commitments of the LPs. d That is, under the terms of the ELP agreement, e ...
... b Any debt or obligation incurred by the GP in the conduct of the business of an ELP is a debt or obligation of the ELP. c In order to meet such debts or obligations, the GP may call on the capital commitments of the LPs. d That is, under the terms of the ELP agreement, e ...
The Second Circuit`s Role in Expanding the SEC`s Jurisdiction Abroad
... The defendants argued that the court was without jurisdiction since the entire transaction occurred in Canada and between foreign corporations. The Second Circuit rejected that argument in language frequently utilized in subsequent cases: We believe that Congress intended the Exchange Act to have ex ...
... The defendants argued that the court was without jurisdiction since the entire transaction occurred in Canada and between foreign corporations. The Second Circuit rejected that argument in language frequently utilized in subsequent cases: We believe that Congress intended the Exchange Act to have ex ...
Specific Investment Policy and Procedures – Restricted and
... Securities convertible into common shares or trust units; Rights and warrants; and American Depository Receipts and Global Depository Receipts. ...
... Securities convertible into common shares or trust units; Rights and warrants; and American Depository Receipts and Global Depository Receipts. ...
Hong Kong stock market historical events
... The Securities (Accounts and Audit) (Amendment) Regulations were published in the Government Gazette. Dealers and dealing partnerships were required to fulfil certain requirements. The Securities (Recognition of Stock Market) Notice and the Securities (Registration of Dealers) (Approved Examinations ...
... The Securities (Accounts and Audit) (Amendment) Regulations were published in the Government Gazette. Dealers and dealing partnerships were required to fulfil certain requirements. The Securities (Recognition of Stock Market) Notice and the Securities (Registration of Dealers) (Approved Examinations ...
BlackRock US Corporate Bond Index Fund
... (i.e. meet a specified level of credit worthiness) at the time of purchase. If the credit rating of a FI security is downgraded, the Fund may continue to hold this, until it is practicable to sell the position. The benchmark index measures the performance of USD denominated government, supranational ...
... (i.e. meet a specified level of credit worthiness) at the time of purchase. If the credit rating of a FI security is downgraded, the Fund may continue to hold this, until it is practicable to sell the position. The benchmark index measures the performance of USD denominated government, supranational ...
What Happens to Bondholders When a Company Files for Bankruptcy
... 1. Secured creditors, whose claims are protected by specific assets or collateral, such as real estate, are paid first. 2. Then unsecured creditors, which often include bank lenders, bondholders and suppliers, are next in line. 3. Stockholders, who have purchased a portion of the company, are paid ...
... 1. Secured creditors, whose claims are protected by specific assets or collateral, such as real estate, are paid first. 2. Then unsecured creditors, which often include bank lenders, bondholders and suppliers, are next in line. 3. Stockholders, who have purchased a portion of the company, are paid ...
The International Diversification Fallacy of Exchange
... They find that the country funds listed on the U.S. exchanges are more highly correlated with the S&P 500 than the returns for their respective benchmarks. Another vehicle available to investors who wish to add "international" securities to their portfolios is the American depository receipt (ADR). ...
... They find that the country funds listed on the U.S. exchanges are more highly correlated with the S&P 500 than the returns for their respective benchmarks. Another vehicle available to investors who wish to add "international" securities to their portfolios is the American depository receipt (ADR). ...