Sentences with phrase «registered investment companies in»

Seth Davis counsels investment advisers, private investment funds and registered investment companies in investment management and securities matters including compliance... Read More

Total return prior to the commencement of the class reflects returns of the Global Macro Capital Opportunities Portfolio, the separate registered investment company in which the Fund invests.

Not exact matches

In May 2015 he and his brother, Ding Xiaoming, registered an investment company called Ninin, the same name Ding had used for a series of entities in Hong Kong, Macau, and mainland ChinIn May 2015 he and his brother, Ding Xiaoming, registered an investment company called Ninin, the same name Ding had used for a series of entities in Hong Kong, Macau, and mainland Chinin Hong Kong, Macau, and mainland China.

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.

Unless rules governing narrow situations like this one are clearly spelled out, it would be hard to determine whether a company was simply conveying information or giving investment advice, in which case it would have to register as a broker - dealer.

Crowdfunder, a Los Angeles - based start - up, took a similar tack in August, when it announced that it had formed a strategic alliance with GATE Global Impact, a registered broker - dealer, to allow accredited investors to make investments in companies registered on the Crowdfunder site.

COBRA Resources NL's investment in Internet and telecommunications provider Global Dial has been sweetened by the news that it has been joined on the carrier's register by Singapore - based construction and property company Low Keng Huat Ltd, which will inj

Although the Company was organized and intends to conduct its business in a manner so that it is not required to register as an investment company under the Investment Company Act of 1940, as amended, the consolidated financial statements are prepared using the specialized accounting principles of the Financial Accounting Standards Board Accounting Standards Codification («ASC») Topic 946, Financial Services — Investment ComCompany was organized and intends to conduct its business in a manner so that it is not required to register as an investment company under the Investment Company Act of 1940, as amended, the consolidated financial statements are prepared using the specialized accounting principles of the Financial Accounting Standards Board Accounting Standards Codification («ASC») Topic 946, Financial Services — Investment investment company under the Investment Company Act of 1940, as amended, the consolidated financial statements are prepared using the specialized accounting principles of the Financial Accounting Standards Board Accounting Standards Codification («ASC») Topic 946, Financial Services — Investment Comcompany under the Investment Company Act of 1940, as amended, the consolidated financial statements are prepared using the specialized accounting principles of the Financial Accounting Standards Board Accounting Standards Codification («ASC») Topic 946, Financial Services — Investment Investment Company Act of 1940, as amended, the consolidated financial statements are prepared using the specialized accounting principles of the Financial Accounting Standards Board Accounting Standards Codification («ASC») Topic 946, Financial Services — Investment ComCompany Act of 1940, as amended, the consolidated financial statements are prepared using the specialized accounting principles of the Financial Accounting Standards Board Accounting Standards Codification («ASC») Topic 946, Financial Services — Investment Investment Companies.

Trade in shares of any US registered investment company sponsored by FTI that is substantially similar to the Fund.

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.

DALLAS, August 20, 2014 — Highland Capital Management, L.P., («Highland»), a Dallas - based investment management firm, which together with its affiliates has approximately $ 19 billion in assets under management, today announced the launch of its non-traded product line with a publicly - registered Business Development Company (BDC) NexPoint Capital, Inc..

A equity investment in a high risk seed or early stage company does not align with the longer term nature of the assets of a registered savings plan.

Founded in 1996 by former Nomura executive John C. Howe, Darien, CT - based Old Hill Partners is an SEC - registered investment adviser specializing in alternative investment management and customized asset - backed lending transactions with primarily middle - market companies.

The iShares ® Funds and BlackRock ® mutual funds that are registered with the U.S. Securities and Exchange Commission under the Investment Company Act of 1940 («Funds») are distributed in the U.S. by BlackRock Investments, LLC (together with its affiliates, «BlackRock»).

Represented a manager of biotechnology company investments in the launch of a registered closed - end fund offering.

Let's have a clear understanding: the majority of equity crowdfunding (or crowdinvesting) platforms that have recently flooded the market, are registered broker - dealers companies (or have to work through registered broker dealers) and fundamentally is an alternative form of online investment banking for start - ups and early stage companies where as of now not a crowd — but only accredited investors are entitled to invest, just like in the good old days.

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».

We are deeply concerned that the Investment Company Institute (ICI) Letter lays out a set of changes to the Proposed Rule which wold effectively negate the derivatives exposure limits in the rule and render them useless as a tool for controlling speculative leverage at registered funds, as is required by the 1940 Act.

MFS International (U.K.) Limited («MIL UK»), a private limited company registered in England and Wales with the company number 03062718, and authorized and regulated in the conduct of investment business by the U.K. Financial Conduct Authority.

Bob Robotti is the Founder, President and CIO of Robotti & Company Advisors, a registered investment advisor based in New York City.

Cambria Investment Management, LP («Cambria» or the «Company») is a SEC registered investment advisor that was formeInvestment Management, LP («Cambria» or the «Company») is a SEC registered investment advisor that was formeinvestment advisor that was formed in 2006.

Fidelity Investments, working through Strategic Advisers LLC, a registered investment adviser and a Fidelity Investments company, will assist you in your selection of an investment strategy for your account.

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.

This document is being distributed by the following Allianz Global Investors companies: Allianz Global Investors U.S. LLC, an investment adviser registered with the U.S. Securities and Exchange Commission; Allianz Global Investors GmbH, an investment company in Germany, authorized by the German Bundesanstalt für Finanzdienstleistungsaufsicht (BaFin); Allianz Global Investors Asia Pacific Ltd., licensed by the Hong Kong Securities and Futures Commission; Allianz Global Investors Singapore Ltd., regulated by the Monetary Authority of Singapore [Company Registration No. 199907169Z; Allianz Global Investors Japan Co., Ltd., registered in Japan as a Financial Instruments Business Operator [Regiregistered with the U.S. Securities and Exchange Commission; Allianz Global Investors GmbH, an investment company in Germany, authorized by the German Bundesanstalt für Finanzdienstleistungsaufsicht (BaFin); Allianz Global Investors Asia Pacific Ltd., licensed by the Hong Kong Securities and Futures Commission; Allianz Global Investors Singapore Ltd., regulated by the Monetary Authority of Singapore [Company Registration No. 199907169Z; Allianz Global Investors Japan Co., Ltd., registered in Japan as a Financial Instruments Business Operator [Registecompany in Germany, authorized by the German Bundesanstalt für Finanzdienstleistungsaufsicht (BaFin); Allianz Global Investors Asia Pacific Ltd., licensed by the Hong Kong Securities and Futures Commission; Allianz Global Investors Singapore Ltd., regulated by the Monetary Authority of Singapore [Company Registration No. 199907169Z; Allianz Global Investors Japan Co., Ltd., registered in Japan as a Financial Instruments Business Operator [RegisteCompany Registration No. 199907169Z; Allianz Global Investors Japan Co., Ltd., registered in Japan as a Financial Instruments Business Operator [Regiregistered in Japan as a Financial Instruments Business Operator [RegisteredRegistered No.

Holiway Investments Limited is one of the first companies to offer traders fully licensed and registered binary options solution in the world.

«The new Bill, once signed into law by President Muhammadu Buhari will help to make Nigeria's business environment as competitive as its counterparts around the world; allow business owners to now register their businesses in a faster and more efficient way — using technology; removes all the unnecessary regulatory provisions — such as the requirement for «annual general meetings» and «company secretaries»; and reduces the minimum share capital for all companies and start - ups in Nigeria — which will encourage more investments and create new jobs.»

The investment companies (subaccounts) offered in Elite Access Advisory are registered as investment companies under the Investment Company Act of 1940, as amended («1940 Act»), and their shares are registered under the Securities Act of 1933, ainvestment companies (subaccounts) offered in Elite Access Advisory are registered as investment companies under the Investment Company Act of 1940, as amended («1940 Act»), and their shares are registered under the Securities Act of 1933, ainvestment companies under the Investment Company Act of 1940, as amended («1940 Act»), and their shares are registered under the Securities Act of 1933, aInvestment Company Act of 1940, as amended («1940 Act»), and their shares are registered under the Securities Act of 1933, as amended.

prospectuses, offering circulars, etc. used in connection with a public offering of a security that has been registered or filed with the SEC or a state (except for the prospectus for investment company shares); and 5.

The company markets its products in the United States through a variety of distribution channels including registered investment advisors, banks, and national and regional broker - dealers.

Founder, President and CIO - Robotti & Company Bob Robotti is the Founder and CIO of Robotti & Company Advisors, a registered investment advisor based in New York City.

The London Company, located in Richmond, VA, is a registered investment advisor providing equity portfolio management services to a diverse mix of corporations, trusts, foundations, endowments, pensions, banks, individuals, and mutual fund accounts since 1994.

The iShares ETFs and BlackRock Mutual Funds are registered with the United States Securities and Exchange Commission under the Investment Company Act of 1940 («Funds») are distributed in the US by BlackRock Investments, LLC (together with its affiliates, «BlackRock»).

This fund is registered under the SEC's Investment Company Act of 1940, whereby dividends are reinvested on the day of receipt and paid to shareholders in cash every quarter.

While registered as a private limited company in the United Kingdom, Covestor Ltd is not registered to provide investment management or advice in the United Kingdom.

In my view, active investing is inappropriate for companies such as Equity Strategies which is a Registered Investment Company under the investment Company Act of 1940, aInvestment Company under the investment Company Act of 1940, ainvestment Company Act of 1940, as amended.

The NextShares exemptive relief allows unaffiliated registered investment companies to invest in fund shares beyond the normal regulatory limits if certain terms and conditions are met, including that the registered investment company first enters into a written agreement with the fund regarding the terms of the investment.

Exchange - traded funds (ETF) ETFs are open - ended registered investment companies under the Investment Company Act of 1940, which have received certain exemptive relief from the SEC to allow secondary market trading in the Einvestment companies under the Investment Company Act of 1940, which have received certain exemptive relief from the SEC to allow secondary market trading in the EInvestment Company Act of 1940, which have received certain exemptive relief from the SEC to allow secondary market trading in the ETF shares.

In the U.S., most fund companies are registered and regulated by the Securities and Exchange Commission under the Investment Company Act of 1940.

San Mateo, CA, December 21, 2010 — Franklin Templeton Investments today announced the introduction of Templeton Asian Growth Fund, an actively managed, U.S. - registered mutual fund that seeks long - term capital appreciation by investing predominately in securities of companies located in the Asia region.

My wife and I are in the process of purchasing property in Panama.We plan to live in Canada for 6 MTHS and there for 6 MTHS.How would capital gains work if we sold that property or bought another as an investment and sold it?Should we register it in our names or form a company for this purchase.Cheers!

MBIA Capital Management Corp., an indirect wholly - owned subsidiary of MBIA Inc., is responsible for providing investment advisory services to the MBIA Municipal Bond Inflation Protection Fund («MIPS Fund») of FundVantage Trust, an SEC - registered open - end, management investment company launched in November 2007.

As a shareholder, this may mean your investment has less protection than it would have if the company was registered in Australia, under our laws.

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.

Founded as an investment club, the company became a registered investment adviser in 1968 and has a longstanding history of global investing and launching first - of - their kind investment products.

Masawara is a Jersey registered investment company focussed on acquiring interests in companies and projects based in Zimbabwe and the southern African region.

The Funds managed by Montgomery Investment Management have not been registered in the United States under the Investment Company Act of 1940 and units in the Funds are not registered in the United States under the Securities Act of 1933.

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.

Today, TD Ameritrade provides investing and trading services for 11 million client accounts that total more than $ 1 trillion in assets, and custodial services for more than 6,000 independent registered investment advisors.The merger between Ameritrade and TD Waterhouse helped the company expand its product offering, with a more concentrated focus on long - term investing, guidance and asset gathering.

With respect to any portion of a Fund's assets that are invested in one or more open - end management investment companies registered under the 1940 Act, a Fund's net asset value is calculated based upon the net asset values of those open - end management investment companies, and the prospectuses for these companies explain the circumstances under which those companies will use fair value pricing and the effects of using fair value pricing.

A fund may invest in investment companies that are not registered with the SEC or in privately placed securities of investment companies (which may or may not be registered), such as hedge funds and offshore funds.