Sentences with phrase «manager trades securities»

The mutual fund manager trades securities, incurring capital gains or losses, and generates dividend or interest income.

Not exact matches

Managers employ fundamental credit processes focused on valuation and asset coverage of securities of distressed firms; in most cases portfolio exposures are concentrated in instruments that are publicly traded, in some cases actively and in others under reduced liquidity but in general for which a reasonable public market exists.

Jones said the firm implemented a new process, called a chief investment officer tool, to replicate trades of its best managers by using futures contracts and foreign - exchange securities.

When market conditions favor wider diversification in the view of Hussman Strategic Advisors, Inc., the Fund's investment manager, the Fund may invest up to 30 % of its net assets in securities outside of the U.S. fixed - income market, such as utility and other energy - related stocks, precious metals and mining stocks, shares of real estate investment trusts («REITs»), shares of exchange - traded funds («ETFs») and other similar instruments, and foreign government debt securities, including debt issued by governments of emerging market countries.

He has extensive experience in both bitcoin and securities trading with clientele ranging from Fortune 500 companies, hedge funds, asset managers and other financial institutions.

(«East West»), an entity that is registered with the applicable securities regulatory authorities or regulator as a Portfolio Manager, Exempt Market Dealer, Commodities Trading Manager, and Investment Fund Manager.

Cboe Select Sector Index options are designed to potentially be problem - solvers for European asset managers who want exposure to these U.S. index sectors, but can not hold physical delivery exchange - traded product (ETP) options in their funds because of EU regulations around UCITS (Undertakings for the Collective Investment of Transferable Securities).

Specifically, the SEC's action alleges that a registered fund manager invested fund assets in two high - risk private technology companies he founded without disclosing the attendant conflicts of interest to investors, and in contravention of fund offering documents which stated that he would invest fund assets primarily in publicly traded securities.

East West Investment Management is registered with the applicable securities regulators as an Investment Fund Manager, Portfolio Manager, Commodity Trading Manager and Exempt Market Dealer in Ontario.

Professional investment managers have the knowledge to deal with and trade expertise to buy and sell securities.

Australian Rural Capital, a small investment manager listed on the Australian Securities Exchange, will seek to raise $ 80 million to set up a separate new company that will own the 20 per cent Kidman stake and whose shares will trade on the ASX.

Mutual funds represent a pool of securities that are either initially chosen or traded by professional portfolio managers.

The gross proceeds of these shares are then used to buy a portfolio of securities that are traded by the professional fund managers in an effort to meet this objective (an effort in which some funds are considerably more successful than others).

As mentioned previously, these managers will trade the securities in the fund to meet a specific objective, and they are paid and trained to make unbiased investment decisions based upon an established trading plan or strategy that is designed to meet that objective.

Active management means that the managers of the fund actively trade securities in hopes of achieving higher than market returns or outperforming their respective benchmark, such as the S&P 500.

Ignoring market risk can be worrisome for portfolios financed with borrowed money; for portfolios run by managers with a trading mentality; for portfolios run by managers who do not study individual securities in depth; and by managers who believe that the market knows more than they do about any individual security, e.g., believers in MCT.

«A Primacy of the Trading Environment» view has been adopted not only by most money managers, but also by most academics, by all television financial commentators and by many securities regulators, including the Securities and Exchange Commisssecurities regulators, including the Securities and Exchange CommissSecurities and Exchange Commission (SEC).

Annuities Auction Rate Securities Business Development Companies Callable Security Lotteries at Baird Certificate of Deposit Disclosure Closed End Funds and UITs Exchange Traded Products Fixed - Income Securities Featuring a Survivor's Option (or «Death Put») Foreign Transaction Taxes Fund of Hedge Funds Hedge Funds Investing in Bonds Investment Managers» Placement of Client Trade Orders and Their «Trade Away» Practices IPOs Leveraged and Inverse Funds Managed Futures MLPs MLPs - The Taxation of Master Limited Partnerships FAQs Municipal Bonds Mutual Funds Disclosure Non-Exchange Traded Equity Securities Non-Rated, Split - Rated, and Below Investment Grade Securities Private Equity Funds REITs Rollover IRAs Securities in the Lowest Investment Grade Category Structured Products Variable Rate Demand Notes

Turning to the U.S., a study by Coval and Moscowitz found that mutual fund managers «earn substantial abnormal returns in nearby investments,» suggesting that «investors trade local securities at an informational advantage.»

Previously Eric was a Portfolio Manager and Analyst with 1st Source, where he co-managed a publicly traded mutual fund, created the firm's outside mutual fund recommendation list, analyzed individual equity securities, generated investment commentary, and devised a quantitative approach to fundamentals - based security selection.

A securities account where the client has given specific written authorization to a partner, director or qualified portfolio manager to select securities and execute trades for him.

But it isn't clear whether this outperformance resulted from skillful trade execution by the fund's managers and gains from securities lending, or whether it was due to some lucky break, perhaps resulting from the sample of stocks bought or the timing of share purchases.

That being the case, ETF managers attempt to reflect the risk and return characteristics of popular bond indices by sampling a basket of liquid securities that trade frequently and closely track the index.

Capital gains are profits from investor trading or distributions given to shareholders after revenue is taken in from the fund manager's sales of securities.

Brian Conroy, CFA, As a fixed income portfolio manager on the Mortgage - Backed Securities (MBS) team, Brian specializes in relative value trading in MBS pass - throughs based on program, coupon, prepayments, and other pool characteristics.

Funds with higher portfolio turnover rates (meaning the manager buys and sells more often) or funds that invest in less liquid securities (like micro-caps for example) will have higher Trading expense ratios.

First, as the portfolio manager buys and sells securities to manage the cash flows they will incur trading costs.

As required for purposes of analyzing the impact of existing and future market changes on the prices, availability, as demand and liquidity of such securities, as well as for the assistance of portfolio managers in the trading of such securities, Adviser personnel may also release and discuss certain portfolio holdings with various broker - dealers.

The securities in index funds are not consistently added, removed and traded under a fund manager's discretion.

«Gowlings has clear policies and programs in place to ensure our professionals understand their responsibilities when trading in securities and act accordingly,» wrote Erinn Steringa, marketing communications manager for Gowlings, in a statement.

Our Financial Regulation team provides regulatory advice for a wide range of financial institutions, including government bodies, banks, securities firms, investment managers, alternative asset managers, custodians, building societies, life and non-life insurance companies, reinsurers, electronic trading platforms, stockbrokers, corporate financiers, retail intermediaries, pension houses, payment services firms and peer - to - peer lending firms.

Mr. Hensley's litigation experience is broad in nature, encompassing such diverse practice areas as: real estate issues of almost any nature; construction defect litigation (both plaintiff and defense, representing developers, contractors, managers, subcontractors, and design professionals); federal and state securities class action / derivative defense; partnership / corporate governance issues; UCC / commercial paper / letter of credit issues; intellectual property / trade secret / unfair competition issues; wrongful termination / harassment trials; wage / hour class action defense; contract formation and interpretation issues; bankruptcy adversary proceedings; health care disputes; telecommunications issues; and debtor / creditor financing issues involving both secured and unsecured interests.

Advising a Hong Kong asset manager in a Securities and Futures Commission investigation into trading in various securitieSecurities and Futures Commission investigation into trading in various securitiessecurities in Asia.

Henley, who was among the Uber security managers named in Jacobs» letter, said in court Wednesday that the unit at Uber that Jacobs had accused of acquiring rivals» trade secrets no longer exists.

On the other side, there are also many issues that need to be considered, before you start trading, such as: identities of managers and investors unknown, customer support, security exposures, withdrawal issues and terms of use changes.

Several fund managers have shelved bids to launch bitcoin exchange - traded funds (ETFs), citing push back from the Securities and Exchange Commission (SEC).

EMPLOYMENT HISTORY O3 / 10/2009 — 17/11/2012 Reliance Inventers, Inc. — Juneau, AK Regulatory Compliance Manager • Reviewed all system - related information security plans throughout the organization's network • Initiated, facilitated and promoted activities to foster information privacy awareness within the organization and related entities • Participated in the development, implementation and ongoing compliance monitoring of all trading partners • Performed initial and periodic information privacy risk assessments • directed, delivered & ensured delivery of initial privacy training and orientation to all employees, volunteers and third parties

He's a chemist by education, an electrician by trade, a UNIX and Windows sysadmin and Oracle DBA because he raised his hand when he should have known better, and an IT Manager for a major international software and security company by choice.

• Installed, configured, and managed multiple web sites supporting global trading, e-commerce, e-treasury, and business credit in technical environment encompassing Solaris2.6 through 2.10, HP - UX 10.20 and 11.00, AIX 4.2.5 - 5.0 operating systems • Managed DNS, DHCP, NIS, NIS +, FTP, HP OpenView, LDAP, and Apache web administration • Streamlined the business credit process by developing a communication system between the proxy server, IBM Mainframe, and Apache web server using Jet 3270 Emulator • Applied Veritas Volume Manager to provide High Availability (HA) and NFS fail over using the Veritas cluster for numerous Sun E250 - E15K and HP Superdome 9000 servers • Administered backup and recovery using LEGATO backup solution • Performed hardware and software upgrades and built new Sun and HP servers to incorporate Oracle and Sybase RDBMS • Migrated ADSM backup to Veritas Netback up and Autosys 3.4 running on AIX3.3.3 to Autosys 3.5 running on Solaris 2.7 • Employed EMC software for HA and automatic fail over and managed BMC software to monitor operation, development, and administration • Supported HSBC's branch banking on an RS 6000 platform running AIX • Optimized data security through close cooperation between Network Administration, Unix System Administration, NT Administration, DBA, and Backup and Recovery Administration teams • Implemented policies and procedures to streamline operations and minimize system downtime • Built a 128 - bit RSA encrypted proxy server for internal and external customers, which increased transaction security • Installed and configured Aix and Sun Solaris Operating systems on IBM and Sun Servers.

(Arizona & Southern Nevada) 2010 — Present Regional Sales Manager • Directed sales and marketing of security system product lines throughout two states • Increased monthly revenues by 172 % resulting in $ 68,000 monthly profit • Built strong relationships with key market players expanding client base • Attended trade shows and dealer functions to present product lines