Code of conduct for Discretionary FSPs
... maintain in force suitable guarantees or professional indemnity or fidelity insurance cover. ...
... maintain in force suitable guarantees or professional indemnity or fidelity insurance cover. ...
Les faits
... that the requirements of NI 45-106 were met. The Respondent was fully aware of the requirements of NI 45-106 and specifically was fully conversant with the “accredited investor” definition. In fact, the accredited investor exemption was the exclusive basis upon which sales of Walton securities were ...
... that the requirements of NI 45-106 were met. The Respondent was fully aware of the requirements of NI 45-106 and specifically was fully conversant with the “accredited investor” definition. In fact, the accredited investor exemption was the exclusive basis upon which sales of Walton securities were ...
... and to the size of business losses. The other major approach to eliciting information about risk attitudes is to obtain answers from individuals about their choices over lotteries (Warneryd, 1996). However, inconsistent findings among the alternative ways of framing hypothetical choices are a source ...
Establishing resolution arrangements for investment banks
... the systemic consequences of Lehman’s failure were felt throughout the global market. In the UK, Lehman’s counterparties were unclear as to whether over 840,000 trades would go on to settle, while clients had more than $35 billion in cash and assets tied up in the insolvent estate. The impacts on bo ...
... the systemic consequences of Lehman’s failure were felt throughout the global market. In the UK, Lehman’s counterparties were unclear as to whether over 840,000 trades would go on to settle, while clients had more than $35 billion in cash and assets tied up in the insolvent estate. The impacts on bo ...
Policy on MIS Board Approval of Credit Rating
... Australia, you represent to MOODY’S that you are, or are accessing the document as a representative of, a “wholesale client” and that neither you nor the entity you represent will directly or indirectly disseminate this document or its contents to “retail clients” within the meaning of section 761G ...
... Australia, you represent to MOODY’S that you are, or are accessing the document as a representative of, a “wholesale client” and that neither you nor the entity you represent will directly or indirectly disseminate this document or its contents to “retail clients” within the meaning of section 761G ...
Revisiting “Rational Design”: Preferences, Power, and the Design of
... Important treaty variation exists in three areas. First, in some BITs states provide advanced consent to international arbitration of future disputes whereas in others they do not. The jurisdiction of most international dispute resolution bodies depends critically on whether states have submitted to ...
... Important treaty variation exists in three areas. First, in some BITs states provide advanced consent to international arbitration of future disputes whereas in others they do not. The jurisdiction of most international dispute resolution bodies depends critically on whether states have submitted to ...
ROYAL BANK OF CANADA
... Trigger Return Optimization Securities are unconditional, unsecured and unsubordinated debt securities issued by Royal Bank of Canada with returns linked to the performance of the Russell 2000 ® Index (the “Index”) (each, a “Security” and collectively, the “Securities”). If the Index Return is posit ...
... Trigger Return Optimization Securities are unconditional, unsecured and unsubordinated debt securities issued by Royal Bank of Canada with returns linked to the performance of the Russell 2000 ® Index (the “Index”) (each, a “Security” and collectively, the “Securities”). If the Index Return is posit ...
Trustee Corporations Association of Australia
... is the national body for the trustee company industry. It represents 17 organisations, comprising all 7 Public Trust Offices and all but 2 of the 12 private statutory trustee corporations. Association members have been operating for over a century, and have built a reputation of trust in the communi ...
... is the national body for the trustee company industry. It represents 17 organisations, comprising all 7 Public Trust Offices and all but 2 of the 12 private statutory trustee corporations. Association members have been operating for over a century, and have built a reputation of trust in the communi ...
The UK`s Environment Agency Pension Fund (EAPF)
... these fees and charges would cause the performance of an Index Linked Investment to be different than the MSCI index performance. The Information may contain back tested data. Back-tested performance is not actual performance, but is hypothetical. There are frequently material differences between ba ...
... these fees and charges would cause the performance of an Index Linked Investment to be different than the MSCI index performance. The Information may contain back tested data. Back-tested performance is not actual performance, but is hypothetical. There are frequently material differences between ba ...
equity method of accounting
... investees over which the investor has significant influence) must be accounted for by using the equity method of accounting, and know how to apply this method of accounting • Understand that if the investor is a parent entity (that is, it has at least one subsidiary) then the cost method of accounti ...
... investees over which the investor has significant influence) must be accounted for by using the equity method of accounting, and know how to apply this method of accounting • Understand that if the investor is a parent entity (that is, it has at least one subsidiary) then the cost method of accounti ...
Form ADV 2A – Firm Brochure - HD Vest Financial Services
... wholly-owned subsidiary of HD Vest, Inc. HDVIS is an affiliate under common control with HDVAS, and serves as the introducing brokerdealer to First Clearing with respect to your Account. “Ineligible Assets” means investments that HDVAS has determined are not eligible to be included in the quarterly ...
... wholly-owned subsidiary of HD Vest, Inc. HDVIS is an affiliate under common control with HDVAS, and serves as the introducing brokerdealer to First Clearing with respect to your Account. “Ineligible Assets” means investments that HDVAS has determined are not eligible to be included in the quarterly ...
Block trade reporting for OTC derivatives markets, January
... The Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd-Frank) requires the Commodity Futures Trading Commission (CFTC) and the Securities and Exchange Commission (SEC) to establish rules that provide for the real-time public reporting of swaps1 transactions, as well as exemptions to the ...
... The Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd-Frank) requires the Commodity Futures Trading Commission (CFTC) and the Securities and Exchange Commission (SEC) to establish rules that provide for the real-time public reporting of swaps1 transactions, as well as exemptions to the ...
Does pension funds` fiduciary duty prohibit the integration of
... hypothetical pension fund portfolios with five different degrees of responsibility in five different corporate environmental responsibility criteria (one aggregated measure and four disaggregated measures). It appears very reliably, as our econometric analysis explains between 89% and 98% of any pe ...
... hypothetical pension fund portfolios with five different degrees of responsibility in five different corporate environmental responsibility criteria (one aggregated measure and four disaggregated measures). It appears very reliably, as our econometric analysis explains between 89% and 98% of any pe ...
Leader behaviour and the natural resource curse
... Note that this definition implicitly treats natural-resource GDP, , as exogenous. This assumption deserves some comment. In most of the developing world natural-resource extraction and commercialization takes place under one of two typical arrangements. The first arrangement is that the government ...
... Note that this definition implicitly treats natural-resource GDP, , as exogenous. This assumption deserves some comment. In most of the developing world natural-resource extraction and commercialization takes place under one of two typical arrangements. The first arrangement is that the government ...
SHOULD RESIDENTIAL PROPERTY BE ALLOWED WITHIN
... with residential property rather than commercial. The government are also keen to kick-start the economy and one of the main areas they look at when considering the fiscal pointers to determine if UK Ltd is beginning to turn the corner is the construction sector. Personally I think it is a no-braine ...
... with residential property rather than commercial. The government are also keen to kick-start the economy and one of the main areas they look at when considering the fiscal pointers to determine if UK Ltd is beginning to turn the corner is the construction sector. Personally I think it is a no-braine ...
“ЗАТВЕРДЖЕНО”
... 5.2. The Fund's net asset value does not include the value of securities, the issuance registration of which has been cancelled in accordance with the procedure established by legislature. 5.3. In calculating net asset value of the Fund, the market value of Fund’s securities. Market value of the Fun ...
... 5.2. The Fund's net asset value does not include the value of securities, the issuance registration of which has been cancelled in accordance with the procedure established by legislature. 5.3. In calculating net asset value of the Fund, the market value of Fund’s securities. Market value of the Fun ...
Inverse Indexing
... Example: An investor who owns a broadly diversified portfolio of Canadian large-cap stocks believes that the Canadian large-cap market will decline over the next quarter. The investor could hedge their portfolio against a decline by buying the Horizons BetaPro S&P/TSX 60™ Inverse ETF to hedge agains ...
... Example: An investor who owns a broadly diversified portfolio of Canadian large-cap stocks believes that the Canadian large-cap market will decline over the next quarter. The investor could hedge their portfolio against a decline by buying the Horizons BetaPro S&P/TSX 60™ Inverse ETF to hedge agains ...
Inverse Bank Run, Output, and Welfare Distribution
... In this paper, I examine the impact of Sudden Stops and Sudden Floods in terms of a familiar finance model that is free from the assumption of collateral constraints and other principal-agent problems. The focus is on foreign direct investment (FDI), which makes the analysis independent and compleme ...
... In this paper, I examine the impact of Sudden Stops and Sudden Floods in terms of a familiar finance model that is free from the assumption of collateral constraints and other principal-agent problems. The focus is on foreign direct investment (FDI), which makes the analysis independent and compleme ...
Chapter IV: How Securities are Traded? etImUlbRtRtUv
... because the current market price is not at or better than the specified limit price will be left with the specialist for possible execution in the future, called broker’s broker. Second, the specialist acts as a dealer or market-maker. This means that the specialist buys and sells certain stocks for ...
... because the current market price is not at or better than the specified limit price will be left with the specialist for possible execution in the future, called broker’s broker. Second, the specialist acts as a dealer or market-maker. This means that the specialist buys and sells certain stocks for ...
Superannuation funds and alternative asset investment
... as it is now. They must also find a home for the so-called ‘wall of money’ flowing into superannuation in the form of new contributions each year. One avenue through which many superannuation funds are seeking to do this is by allocating a growing share of their portfolios to so-called alternative a ...
... as it is now. They must also find a home for the so-called ‘wall of money’ flowing into superannuation in the form of new contributions each year. One avenue through which many superannuation funds are seeking to do this is by allocating a growing share of their portfolios to so-called alternative a ...
Are private investors willing to pay for sustainable
... money flows of SRI funds are less related to past returns than conventional fund flows. Two further studies of money flows for SRI funds (Bollen, 2007, Benson and Humphrey, 2008) also suggest that SRI investors are less concerned about returns than conventional investors so that non-financial motive ...
... money flows of SRI funds are less related to past returns than conventional fund flows. Two further studies of money flows for SRI funds (Bollen, 2007, Benson and Humphrey, 2008) also suggest that SRI investors are less concerned about returns than conventional investors so that non-financial motive ...
Fees and other costs
... Small differences in both investment performance and fees and costs can have a substantial impact on your long-term returns. For example, total annual fees and costs of 2% of your account balance rather than 1% could reduce your final return by up to 20% over a 30 year period (for example, reduce it ...
... Small differences in both investment performance and fees and costs can have a substantial impact on your long-term returns. For example, total annual fees and costs of 2% of your account balance rather than 1% could reduce your final return by up to 20% over a 30 year period (for example, reduce it ...
collective investment schemes in emerging markets
... by the CIS, according to the stated objectives of the CIS. Investors are therefore not involved in the day to day decisions concerning how their money is invested.3 ...
... by the CIS, according to the stated objectives of the CIS. Investors are therefore not involved in the day to day decisions concerning how their money is invested.3 ...
A note on portfolio selection, diversification and
... distribution in understanding investment performance. Accordingly, this study also examines the effect of FoF portfolio construction on skewness and kurtosis as a function of the number of funds in the portfolio. FoF skewness becomes increasingly negative as a function of the number of funds, albeit ...
... distribution in understanding investment performance. Accordingly, this study also examines the effect of FoF portfolio construction on skewness and kurtosis as a function of the number of funds in the portfolio. FoF skewness becomes increasingly negative as a function of the number of funds, albeit ...
What it Means to be an ERISA Fiduciary
... Most federally registered broker-dealers (“BDs”) and federally registered investment advisers (“RIAs”) are very familiar with how the federal securities laws and the rules of the Securities Exchange Commission (“SEC”) and an applicable self-regulatory organization (“SRO”) impact their business pract ...
... Most federally registered broker-dealers (“BDs”) and federally registered investment advisers (“RIAs”) are very familiar with how the federal securities laws and the rules of the Securities Exchange Commission (“SEC”) and an applicable self-regulatory organization (“SRO”) impact their business pract ...