Structures, fund managers and financial intermediaries
Horses for courses: Fund managers and. organizational structures
... a fund on its ...for fund characteristics, 56% of the observations for team-managed funds have lower RPI’s than single-manager funds and the average RPI for team-managed funds is ...
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RESPONSE TO FEEDBACK RECEIVED CONSULTATION ON REVIEW OF THE REGULATORY REGIME FOR FUND MANAGEMENT COMPANIES AND EXEMPT FINANCIAL INTERMEDIARIES
... other fund managers would generally be considered to be conducting fund management activity and be regulated under the ...the Financial Advisers Act (“FAA”), either as a licensed or exempt ...
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for Fund Management Companies and Exempt Financial Intermediaries
... the fund management industry continues to grow and evolve, it is important that the regulatory regime keeps pace with industry and regulatory developments ...the fund management industry and to provide ...
25
Study on the remuneration structures of financial services intermediaries and conflicts of interest
... intermediaries of life insurance contracts varies significantly between countries. Distance-selling of life-insurance plays only a minor role in all countries. 2. Results of empirical study The research is based ...
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CHARTERED FINANCIAL PLANNERS AND DISCRETIONARY FUND MANAGERS
... One of the biggest issues facing our clients is how best to achieve financial security in retirement, as well as potentially provide for dependants and pass on wealth to children. At Seabrook Clark we are focused ...
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FUND MANAGERS & FINANCIAL ADVISERS - SINGAPORE REGULATORY AND TAX FRAMEWORK
... & Managers Singapore has put in place a number of schemes to encourage the development of the fund management ...a fund or fund manager to the exemptions; MAS approval is ...
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Fund structures.
... SFC-licensed fund manager on ongoing compliance issues under the SFO and SFC ...Dubai Financial Market, the Abu Dhabi Securities Market, and other stock exchanges in the Gulf ...
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On the estimation of the risk of financial intermediaries
... of financial intermediaries that accounts for these ...of financial intermediaries is that risk should be endogenously ...bank managers in a way that encompasses information about the ...
41
ICT, Intermediaries, and the Transformation of Gendered Power Structures
... her financial independence for the family, her role within the family, and finally her ICT expertise vis-à-vis men in light of their new ...and financial independence allowed young women to challenge the ...
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Study on remuneration structures of financial services intermediaries and conflicts of interest (MARKT/2012/026/H)
... However, some member states have adopted provisions dealing more specifically with those issues in the absence of contractual agreements. In Germany, under the German Commercial code, sec. 87 ff., in the absence of a ...
187
Global Money Managers Fund
... of financial assets. Recently we’ve seen ownership of financial assets grow in importance as governments realise they have to retreat from full protection of household life-cycle financial needs (for ...
24
THEORY & PRACTICE FOR FUND MANAGERS
... Many factors will likely affect the portfolio’s CFC, including the relationship of different premium payment patterns (e.g., lump sum, 10-pay, lifetime, and so on) and different underwriting circumstances (including, but ...
13
2013 No FINANCIAL SERVICES AND MARKETS. The Alternative Investment Fund Managers Regulations 2013
... last financial year the net assets as set out in the company or issuer’s annual accounts are, or following such a distribution would become, lower than the amount of the subscribed capital plus those reserves ...
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2013 No FINANCIAL SERVICES AND MARKETS. The Alternative Investment Fund Managers Regulations 2013
... (d) other subsidiaries of those parent undertakings, provided that none of the investors is an AIF. 4. An institution for occupational retirement provision which falls within the scope of Directive 2003/41/EC of the ...
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Focus on Offshore Funds used by Hong Kong Fund Managers and an Update on Hong Kong Securities and Futures Ordinance Licensing for Intermediaries
... OFFSHORE FUND STRUCTURE RATIONALE FOR CLASSIC STRUCTURE Fund management is a global ...international financial centres such as London, New York, Tokyo and Hong ...of fund management vehicles ...
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For Sophisticated Securities Investors, Investment Bankers, Hedge Fund Managers and Private Equity Fund Managers
... Sponsor Financial Research Associates provides the financial community with access to business information and networking ...and managers seeking cutting-edge information on the next wave of business ...
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Financial Markets and Financial Intermediaries: The Case of Catastrophe Insurance *
... problems that might otherwise arise with ex post borrowing, and since the commitment is taken down after the catastrophe has occurred, the problems of an ex ante bond issue are also avoided. In fact, so-called ...
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Personal Trading by Employees of Financial Intermediaries
... a fund trades on the Helsinki Stock Exchange, its trades are reported ...mutual fund trades off-market through a ‘lit ‘ limit order books such as …, then public disclosure of the trade occurs within 90 ...
64
Risk, Leverage, and Regulation of Financial Intermediaries
... The building block model of this paper is based on di¤erence in risk preference, illustrated as follows. There are many deep pockets and a lot more households. Deep pockets are risk neutral and each has $4. The ...
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The Alternative Investment Fund Managers Directive a guide for US managers
... AIFMs/AIFs to be registered locally before marketing can commence. In the UK it is intended that this is a mere notification process, with minimal information requested in the relevant form (“Article 42 form”) and no ...
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