Search for: "PRUDENTIAL INVESTMENT PORTFOLIOS 2" Results 1 - 20 of 43
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31 Jan 2019, 9:54 am by Silver Law Group
The most recent was filed on 12/7/2017, alleging unsuitable investments and that he never discussed any transactions with the client during the time period 2/13/2006 through 12/31/2016. [read post]
15 Jan 2013, 3:16 pm by James Hamilton
With the AIFMD, all investment funds in the EU fall into one of the following two categories: They are either UCITS (undertakings for collective investment in transferable securities) or hedge funds and other types of alternative investment funds. [read post]
26 Sep 2017, 9:01 pm by Tamar Frankel
How many different portfolios could your money possibly be invested in? [read post]
1 Jul 2020, 3:44 am by Daniel Nevzat (UK)
The chapter should be read alongside with SS3/19, and with outputs of the PRA’s 2021 Biennial Exploratory Scenario (BES), the FCA’s requirements for solo-regulated firms including CP19/20 and requirements around scenario analysis in the Prudential sourcebook for investment firms (IFPRU), as well as the Network for Greening the Financial System (NGFS)’s publication on scenario analysis and reference scenarios. 3. [read post]
12 Sep 2013, 8:09 am by D. Daxton White
Frequently, the combination of the investment management fees to run the underlying investment portfolio plus the insurance charges drive a variable annuity’s annual costs above 2 percent a year. [read post]
2 Oct 2007, 4:39 pm
Many major life companies, among them Prudential Securities, AXA Financial, Lincoln Benefit and SunAmerica have begun massive educational and advertising programs aimed at increasing the awareness of investors and advisors of the risks and costs of trying to manage funds for decades while guessing at mortality risks and future costs. [read post]
8 Jul 2009, 11:16 pm
In making an "investment comparison" the Baird Vice President and attorney  falsely represented that income paid from a structured settlement is taxed at ordinary income when in fact it is income tax free pursuant to the terms of  either IRC 104(a)(1) or IRC104(a)(2). [read post]
18 Mar 2018, 12:59 pm by Shawn Barnett
CISCA places significant restrictions on the asset classes in which a CIS can invest as well as concentration limits on CIS portfolio exposure. [read post]
14 Mar 2018, 1:26 am by Shawn Barnett
 CISCA places significant restrictions on the asset classes in which a CIS can invest as well as concentration limits on CIS portfolio exposure. [read post]
9 Oct 2008, 10:15 pm
Adjustments in the company's investment portfolio were necessary as rents fell and farm commodity prices dropped; Metropolitan reduced its investments in city  mortgage and farm lending". [read post]
13 Sep 2012, 5:18 pm by John Gordon
Kosman noted that two other restaurant chains which were part of Bain’s investment portfolio – Burger King and Dominos – had rough times after the PE firms exited. [read post]
16 Mar 2023, 9:05 pm by renholding
Yet the FSB has dismissed too quickly the need to review whether the prudential rules that apply to banks are adversely affecting their market intermediation activities. [read post]
30 Aug 2010, 3:10 pm by Eddy Salcedo
Truland Service Corp., 56 Fed.Appx. 108, 110 (4th Cir.2003); Prudential Securities, Inc. v. [read post]
”  To that end, the Basel Principles are divided into two main parts: guidance for banks on the effective management of climate-related financial risks and guidance for prudential supervisors. [read post]
1 Nov 2023, 2:40 pm by Daniel Jin
The government also confirmed that it plans to bring forward its work on staking but portfolio management and provision of investment advice on cryptoassets will not be brought within the regulatory perimeter at this stage. [read post]
The full media release can be accessed here and the full report can be found here. 8  ASIC consults on remaking ‘sunsetting’ class orders on IDPS and IDPS-like schemes On 28 March 2023, ASIC announced it was seeking feedback from operators of investor directed portfolio services (IDPS) on proposals to remake the following class orders: Class Order [CO 13/762] Investor directed portfolio services provided through a registered managed investment scheme;… [read post]
ASIC extends relief for portfolio holdings disclosure ASIC amended Class Order [CO 14/443] on 29 October 2019 in order to provide legal certainty about the first reporting day for portfolio holdings disclosure. [read post]
21 Apr 2021, 9:02 am by David Shearer (UK) and Rae Parsons (UK)
” It seems counterintuitive that the due diligence burden for an acquired portfolio of performing exposures might be more onerous than that for an acquired portfolio of non-performing exposures (and indeed for a “held for life” portfolio of non-performing exposures), but this does seem to be the effect of the amendment to Article 9. [read post]
22 Jan 2023, 9:01 pm by renholding
These proposed changes would categorize funds that consider ESG factors in their investment process into three broad categories—“Integration Funds,” “ESG-Focused Funds” and “Impact Funds”—depending on how central ESG factors are to a fund’s strategy,[2] and would, among other requirements, (1) require additional specific disclosure regarding ESG strategies in both fund and adviser disclosures; (2) implement a… [read post]
25 Oct 2023, 9:01 pm by renholding
That is why recognizing the key differences between the OIG Report1 and the Barr Report is so important.2 The Barr Report was essentially a self-assessment by the supervisory staff of the root causes of SVB’s failure, including deficiencies in risk management and the staff’s own supervision of SVB. [read post]