Sentences with phrase «other registered investment companies»

Mr. Breslin has over 20 years of business experience in the investment management and brokerage business and possesses a strong understanding of the regulatory framework under which investment companies must operate based, in part, upon his years of service as an officer and / or Trustee to other registered investment companies.

Wheelock & Company, Brookfield Asset Management, all mutual funds, most other Registered Investment Companies (RICs), and virtually all hedge funds.

Not exact matches

Other Chinese investors who put money into EuroFX also told Reuters they did so because Euro Forex Investment Limited was a company registered in Britain.

As a registered investment adviser, or RIA, the company can now offer portfolio recommendations and other investment advice — and charge for them.

You are an authorized representative of a bank, broker - dealer, insurance company, registered investment adviser or other professional client (together, «Financial Institutions») engaged in business activities outside the United States of America (a «Non-U.S. Adviser») and the Financial Institution has authorized you to access and use the Holdings Information.

We have the right to acquire all of our then - outstanding common units at the then - current trading price either if 10 % or less of our common units are held by persons other than our general partner and its affiliates or if we are required to register as an investment company under the 1940 Act.

Wells Fargo Investment Institute, Inc. is a registered investment adviser and wholly - owned subsidiary of Wells Fargo & Company and provides investment advice to Wells Fargo Bank, N.A., Wells Fargo Advisors and other Wells Fargo aInvestment Institute, Inc. is a registered investment adviser and wholly - owned subsidiary of Wells Fargo & Company and provides investment advice to Wells Fargo Bank, N.A., Wells Fargo Advisors and other Wells Fargo ainvestment adviser and wholly - owned subsidiary of Wells Fargo & Company and provides investment advice to Wells Fargo Bank, N.A., Wells Fargo Advisors and other Wells Fargo ainvestment advice to Wells Fargo Bank, N.A., Wells Fargo Advisors and other Wells Fargo affiliates.

Blake counsels asset managers and broker - dealers on all aspects of the development and distribution of alternative investment products, including registered investment companies, business development companies, and other permanent or long - term capital structures, as well as hedge funds and private equity funds.

Aside from investing in mainland China companies via Hong Kong Stock connect, investment firms can get China exposure by piggy backing on other registered foreign investors through Participatory Notes or «P - Notes».

In a recent speech, Julie M. Riewe, Co-Chief of the AMU, discussed the AMU's collaboration with other SEC divisions; detailed the AMU's 2015 enforcement priorities with respect to registered investment companies, hedge funds, private equity funds and separately managed accounts; and discussed the AMU's focus on conflicts — their ubiquity, the difficulty or impossibility of eliminating them, the limited extent to which disclosure can cure conflicts, the salience of conflicts when an investment adviser and broker - dealer are affiliated, and related considerations.

Wells Fargo Investment Institute, Inc., is a registered investment adviser and wholly owned subsidiary of Wells Fargo & Company and provides investment advice to Wells Fargo Bank, N.A.; Wells Fargo Advisors; and other Wells Fargo aInvestment Institute, Inc., is a registered investment adviser and wholly owned subsidiary of Wells Fargo & Company and provides investment advice to Wells Fargo Bank, N.A.; Wells Fargo Advisors; and other Wells Fargo ainvestment adviser and wholly owned subsidiary of Wells Fargo & Company and provides investment advice to Wells Fargo Bank, N.A.; Wells Fargo Advisors; and other Wells Fargo ainvestment advice to Wells Fargo Bank, N.A.; Wells Fargo Advisors; and other Wells Fargo affiliates.

The account is segregated from the insurance company's other investments, and registered as an investment company under the Investment Company Act ocompany's other investments, and registered as an investment company under the Investment Company Acinvestment company under the Investment Company Act ocompany under the Investment Company AcInvestment Company Act oCompany Act of 1940.

Institutional investor: A investor who is a bank, savings and loan association, insurance company, registered investment company, federal - or state - registered investment adviser, or any other person, corporation, partnership, trust, or other entity with total assets of at least $ 50 million.

And if your investment goes bust, which happens more often with private than public companies, the Allowable Business Investment Loss (ABIL) rules may allow you to claim a deduction against your other income and get a tax refund outside a registereinvestment goes bust, which happens more often with private than public companies, the Allowable Business Investment Loss (ABIL) rules may allow you to claim a deduction against your other income and get a tax refund outside a registereInvestment Loss (ABIL) rules may allow you to claim a deduction against your other income and get a tax refund outside a registered account.

The Funds, which are not sold by prospectus, are not mutual funds and are exempt from registration and regulation under the Investment Company Act of 1940 («1940 Act»), and their units are not registered under the Securities Act of 1933, or applicable securities laws of any state or other jurisdiction.

Under the SEC proposal, an ETF would be defined as a registered open - end management investment company that: • Issues (or redeems) creation units in exchange for the deposit (or delivery) of basket assets the current value of which is disseminated per share by a national securities exchange at regular intervals during the trading day; • Identifies itself as an ETF in any sales literature; • Issues shares that are approved for listing and trading on a securities exchange; • Discloses each business day on its publicly available web site the prior business day's net asset value and closing market price of the fund's shares, and the premium or discount of the closing market price against the net asset value of the fund's shares as a percentage of net asset value; and • Either is an index fund, or discloses each business day on its publicly available web site the identities and weighting of the component securities and other assets held by the fund.

At the request of a Client Account or Investor (other than a Client Account that is a registered investment company under the ICA (a «Registered Fund»)-RRB-, the Firm provides that Client Account or Investor with a copy of this Part VII and a report summarizing all proxy solicitations the Firm received with respect to that Client Account during the period requested and action taken by the Firm on each sregistered investment company under the ICA (a «Registered Fund»)-RRB-, the Firm provides that Client Account or Investor with a copy of this Part VII and a report summarizing all proxy solicitations the Firm received with respect to that Client Account during the period requested and action taken by the Firm on each sRegistered Fund»)-RRB-, the Firm provides that Client Account or Investor with a copy of this Part VII and a report summarizing all proxy solicitations the Firm received with respect to that Client Account during the period requested and action taken by the Firm on each such proxy.

A mutual fund is an SEC - registered open - end investment company that pools money from many investors and invests the money in stocks, bonds, short - term money - market instruments, other securities or assets, or some combination of these investments.

Although the Contract simply has the plaintiff sell interests in the proceeds, if the issuer were a Registered Limited Liability Partnership (structured like a General Partnership in which all of the partners had management rights) or a Member - managed Limited Liability Company in which the members manage the business, the investment interests would likely not be securities because the venture's profits would not be derived primarily from the «efforts of others.»