Circular 2018/2 Duty to report securities transactions Duty to
... The duty to report covers all of a participant’s transactions in securities as defined in Margin no. 9 above as well as all transactions in derivatives where at least one underlying has a weighting of more than 25% and is a security as defined in Margin no. 9. If this 25% threshold is exceeded by th ...
... The duty to report covers all of a participant’s transactions in securities as defined in Margin no. 9 above as well as all transactions in derivatives where at least one underlying has a weighting of more than 25% and is a security as defined in Margin no. 9. If this 25% threshold is exceeded by th ...
Financial Accounting and Accounting Standards
... Available-for-Sale Securities Illustration: On December 31, 2010, Republic records the net unrealized gains and losses related to changes in the fair value of available-for-Sale equity securities in an Unrealized Holding Gain or Loss—Equity account. Unrealized Holding Gain or Loss—Equity Securities ...
... Available-for-Sale Securities Illustration: On December 31, 2010, Republic records the net unrealized gains and losses related to changes in the fair value of available-for-Sale equity securities in an Unrealized Holding Gain or Loss—Equity account. Unrealized Holding Gain or Loss—Equity Securities ...
Futurization of Swaps
... exchanges and centrally cleared. But this outcome was not one that Congress anticipated. In addition, the futurization of swaps poses several policy problems that neither the CFTC nor the SEC have addressed. First, margins on futures contracts are calculated differently from and are lower than those ...
... exchanges and centrally cleared. But this outcome was not one that Congress anticipated. In addition, the futurization of swaps poses several policy problems that neither the CFTC nor the SEC have addressed. First, margins on futures contracts are calculated differently from and are lower than those ...
QLT Affirms Commitment to Return Capital to Shareholders QLT
... regulatory approval process for products to advance through development stages; risks and uncertainties associated with the safety and effectiveness of our technology; risks and uncertainties related to the scope, validity, and enforceability of our intellectual property rights and the impact of pat ...
... regulatory approval process for products to advance through development stages; risks and uncertainties associated with the safety and effectiveness of our technology; risks and uncertainties related to the scope, validity, and enforceability of our intellectual property rights and the impact of pat ...
naic blanks (e) working group - National Association of Insurance
... This schedule should include a detailed listing of all securities that were purchased/acquired during the current reporting year that are still owned as of the end of the current reporting year (amounts purchased and sold during the current reporting year are reported in detail on Schedule D, Part 5 ...
... This schedule should include a detailed listing of all securities that were purchased/acquired during the current reporting year that are still owned as of the end of the current reporting year (amounts purchased and sold during the current reporting year are reported in detail on Schedule D, Part 5 ...
Investors Rights Agreement
... securities issued or issuable to banks, equipment lessors or other financial institutions pursuant to a commercial leasing or debt financing transaction approved by the Board; (viii) securities issued or issuable in connection with sponsored research, collaboration, technology license, development, ...
... securities issued or issuable to banks, equipment lessors or other financial institutions pursuant to a commercial leasing or debt financing transaction approved by the Board; (viii) securities issued or issuable in connection with sponsored research, collaboration, technology license, development, ...
trading in company securities policy
... This Policy sets out the responsibilities of all Oceania Directors, officers and employees of Oceania or any of its subsidiaries ("Oceania Group") ("you" or "Oceania Person"). This Policy applies to any Trading (defined below) in Securities (defined below) in which you are involved, whether or not t ...
... This Policy sets out the responsibilities of all Oceania Directors, officers and employees of Oceania or any of its subsidiaries ("Oceania Group") ("you" or "Oceania Person"). This Policy applies to any Trading (defined below) in Securities (defined below) in which you are involved, whether or not t ...
XXV Asamblea Annual de ASSAL XV Conferencia sobre
... indirect, special, consequential, compensatory or incidental damages whatsoever (including without limitation, lost profits), even if AMB is advised in advance of the possibility of such damages, resulting from the use of or inability to use, any such information. The credit ratings, financial repor ...
... indirect, special, consequential, compensatory or incidental damages whatsoever (including without limitation, lost profits), even if AMB is advised in advance of the possibility of such damages, resulting from the use of or inability to use, any such information. The credit ratings, financial repor ...
Derivatives and Risk Management Made Simple
... a publicly available price source. For example, under an equity swap the amount that is paid or received will be the difference between the equity price at the start and end date of the contract. Swaptions: These are non-standard contracts giving the owner the right but not the obligation to enter i ...
... a publicly available price source. For example, under an equity swap the amount that is paid or received will be the difference between the equity price at the start and end date of the contract. Swaptions: These are non-standard contracts giving the owner the right but not the obligation to enter i ...
Hedge Funds
... If you wanted to employ leverage or to short sell – which are characteristic features of what hedge funds do – you therefore had to make sure that legally you weren’t classed as an investment company that was open to the public at large. That’s, for example, the reason hedge funds can’t advertise, a ...
... If you wanted to employ leverage or to short sell – which are characteristic features of what hedge funds do – you therefore had to make sure that legally you weren’t classed as an investment company that was open to the public at large. That’s, for example, the reason hedge funds can’t advertise, a ...
Securities Companies
... (e) "Securities Underwriting" means the function of subscribing to some or all of the Marketable Securities of a company in order to sell them to the public, or the function of assisting the issuer to sell Marketable Securities to the public; (f) "Securities Investment Advisory" means the function ...
... (e) "Securities Underwriting" means the function of subscribing to some or all of the Marketable Securities of a company in order to sell them to the public, or the function of assisting the issuer to sell Marketable Securities to the public; (f) "Securities Investment Advisory" means the function ...
Investor Questionnaire
... The Investor, if not an individual, is an entity in which all of the equity owners are accredited investors meeting at least one of the standards set forth above. For the purposes of this Investor Questionnaire, “Income” is computed by adding the following items to adjusted gross income as computed ...
... The Investor, if not an individual, is an entity in which all of the equity owners are accredited investors meeting at least one of the standards set forth above. For the purposes of this Investor Questionnaire, “Income” is computed by adding the following items to adjusted gross income as computed ...
Is My Money Safe at Schwab? (2004-05-05)
... Each of these institutions adds both a layer of custodial risk and a layer of protection. For example, an employee of Charles Schwab could forge documents in an attempt to steal the wealth of a Charles Schwab customer. Doing so with a RCG account would require selling mutual funds. When RCG does th ...
... Each of these institutions adds both a layer of custodial risk and a layer of protection. For example, an employee of Charles Schwab could forge documents in an attempt to steal the wealth of a Charles Schwab customer. Doing so with a RCG account would require selling mutual funds. When RCG does th ...
SA BlackRock VCP Global Multi Asset Portfolio Summary
... The Portfolio seeks to achieve its investment goal by tactically allocating its assets to various equity and fixed income asset classes. The Portfolio obtains broad exposure to these asset classes by investing in equity and fixed income securities and derivatives that provide exposure to equity and ...
... The Portfolio seeks to achieve its investment goal by tactically allocating its assets to various equity and fixed income asset classes. The Portfolio obtains broad exposure to these asset classes by investing in equity and fixed income securities and derivatives that provide exposure to equity and ...
Federal Reserve Rule Regarding Capital
... The Fed has decided, as proposed, to retain in the final rule the standard that voting common stock should be the dominant form of a BHC’s Tier 1 capital. The final rule continues to caution that excessive non-voting elements generally will be reallocated to Tier 2 capital. Pooled issuances generall ...
... The Fed has decided, as proposed, to retain in the final rule the standard that voting common stock should be the dominant form of a BHC’s Tier 1 capital. The final rule continues to caution that excessive non-voting elements generally will be reallocated to Tier 2 capital. Pooled issuances generall ...
Primary Market
... bond issue, sinking-fund provisions allow a firm to lessen the interest rate risk of its bonds as it essentially replaces a portion of existing debt with lower-yielding bonds. From the investor's point of view, a sinking fund adds safety to a corporate bond issue: with it, the issuing company is les ...
... bond issue, sinking-fund provisions allow a firm to lessen the interest rate risk of its bonds as it essentially replaces a portion of existing debt with lower-yielding bonds. From the investor's point of view, a sinking fund adds safety to a corporate bond issue: with it, the issuing company is les ...
Current Topics in Risk Management
... • A fund can buy Treasuries and also go long credit risk using a credit derivative in order to create a synthetic high-yield bond. • A bank can own risky loans, and can sell the credit risk in order to have a less risky portfolio of loans. – This is a hedge. – The bank need not disturb its existing ...
... • A fund can buy Treasuries and also go long credit risk using a credit derivative in order to create a synthetic high-yield bond. • A bank can own risky loans, and can sell the credit risk in order to have a less risky portfolio of loans. – This is a hedge. – The bank need not disturb its existing ...
Credit Risk Transfer
... CIRT program, transferring credit risk on approximately $66.2 billion in loans across nine transactions. Description: Credit insurance risk sharing deals shift credit risk on a pool of loans to an insurance provider which may then transfer that risk to one or more domestic or international reinsurer ...
... CIRT program, transferring credit risk on approximately $66.2 billion in loans across nine transactions. Description: Credit insurance risk sharing deals shift credit risk on a pool of loans to an insurance provider which may then transfer that risk to one or more domestic or international reinsurer ...
Koppers Holdings Inc. (Form: 8-K, Received: 08/21
... Page 2 –Koppers Completes Acquisition of Osmose Businesses annually over the next 15 years. Koppers is financing the purchase through new and existing bank debt, including a new term loan and an increase to the company’s existing revolving credit facility. Revenues for the Acquired Businesses in 20 ...
... Page 2 –Koppers Completes Acquisition of Osmose Businesses annually over the next 15 years. Koppers is financing the purchase through new and existing bank debt, including a new term loan and an increase to the company’s existing revolving credit facility. Revenues for the Acquired Businesses in 20 ...
RED HAT INC
... The Registrant hereby undertakes to file, during any period in which offers or sales are being made, a post-effective amendment to this Registration Statement: (i) to include any prospectus required by Section 10(a)(3) of the Securities Act of 1933, as amended (the "Securities Act"); (ii) to reflect ...
... The Registrant hereby undertakes to file, during any period in which offers or sales are being made, a post-effective amendment to this Registration Statement: (i) to include any prospectus required by Section 10(a)(3) of the Securities Act of 1933, as amended (the "Securities Act"); (ii) to reflect ...
IFRS 9 Financial Instruments
... loans in China, ‘Livret A’ receivables in France and other financial assets with regulated interest rates in European jurisdictions. ...
... loans in China, ‘Livret A’ receivables in France and other financial assets with regulated interest rates in European jurisdictions. ...
1 Re: Comments in Response to the Consultative Document
... 2. We recommend that the BCBS adopts option B on netting for regular-way purchases and sales of financial assets. Option A would produce an artificial “ballooning” of the bank’s balance sheet, increase volatility in the exposure measure and constrain banks’ ability to execute client orders. This wou ...
... 2. We recommend that the BCBS adopts option B on netting for regular-way purchases and sales of financial assets. Option A would produce an artificial “ballooning” of the bank’s balance sheet, increase volatility in the exposure measure and constrain banks’ ability to execute client orders. This wou ...
Note Purchase Agreement
... solely for the purpose of making this investment and is purchasing the Notes to be acquired by such Investor hereunder for its own account for investment, not as a nominee or agent, and not with a view to, or for resale in connection with, the distribution thereof, and Investor has no present intent ...
... solely for the purpose of making this investment and is purchasing the Notes to be acquired by such Investor hereunder for its own account for investment, not as a nominee or agent, and not with a view to, or for resale in connection with, the distribution thereof, and Investor has no present intent ...
Regulation of Alternative Investments
... and receives commission income based on those sales or purchases. This regulation applies to broker-dealers who sell private placements (including those that qualify for a Reg D exemption and those that do not). To register, a broker-dealer must file Form BD, become a member of FINRA or other SRO an ...
... and receives commission income based on those sales or purchases. This regulation applies to broker-dealers who sell private placements (including those that qualify for a Reg D exemption and those that do not). To register, a broker-dealer must file Form BD, become a member of FINRA or other SRO an ...
KONDOR+
... manner. If hedging is to be handled by a CVA desk, CVA sensitivities must be provided. ...
... manner. If hedging is to be handled by a CVA desk, CVA sensitivities must be provided. ...