Securities underwriting

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  • This paper primarily addresses the relationship between a fund’s board and adviser and their respective roles in addressing risk issues impacting the fund. Some of the discussion may also apply to the fund’s relationship with other service providers, such as the fund’s administrator, principal underwriter, transfer agent, accountant, and custodian. Those providers also manage the risks associated with the services they provide to the funds. For instance, the transfer agent may manage the risks associated with maintaining shareholder records.

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  • The widespread use of credit scores to underwrite and price automobile and homeowners insurance has generated considerable concern that the practice may significantly restrict the availability of affordable insurance products to minority and low- income consumers. However, no existing studies have effectively examined whether credit scores have a disproportionate negative impact on minorities or other demographic groups, primarily because of the lack of public access to appropriate data.

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  • Contents: The Financing Life Cycle of a Firm: Early-Stage Financing and Venture Capital, Selling Securities to the Public: The Basic Procedure, Alternative Issue Methods Underwriters IPOs and Underpricing.

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  • Thông qua việc bàn về khái niệm bảo lãnh phát hành chứng khoán để thấy rằng đơn vị thực hiện bảo lãnh phát hành chứng khoán được pháp luật chứng khoán đặt ra những quy định về điều kiện bảo lãnh là nghiêm khắc hơn so với các loại bảo lãnh khác ở dân sự hoặc thương mại. Mời các bạn cùng tham khảo vấn đề này.

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  • The banking industry has undergone profound changes during the last decade. The most obvious change has been the large number of bank mergers, which have increased both the average size of banks and the area over which they operate. Other changes may also prove dramatic but are at this point just getting under way—the growth of e-banking and the combination of banking with other financial services, such as insurance and securities underwriting.The article discusses the recent changes in financial system are likely to benefit consumers.

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  • Merchant Banking provides specialist services including portfolio management, project financing and counselling, issue management and underwriting, mergers, acquisitions, venture capital financing, leasing and so on. Merchant banking, although a non-banking financial activity, resembles banking function.

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  • Reoffering yield In a purchase and sale, the yield to maturity at which the underwriter offers to sell the bonds to investors. Reopen an issue The Treasury, when it wants to sell additional securities, will occasionally sell more of an existing issue (reopen it) rather than offer a new issue. Reorganization Creating a plan to restructure a debtor's business and restore its financial health. Replacement cost Cost to replace a firm's assets. Replacement cycle The frequency with which an asset is replaced by an equivalent asset. Replacement value Current cost of replacing the firm's assets.

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  • Finding a solution to structural poverty requires a review of the devel- opment model as well as the macroeconomic policies adopted by gov- ernments. Social development and economic growth must be under- stood as integral parts of the same process. Eliminating the causes of structural poverty requires overcoming the false dichotomy between the social and economic aspects of development. In other words, poverty reduction should be the main objective of macroeconomic policies in the social sectors....

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  • The charge for loan impairment fell by $1 ,117 million, or 56 per cent, to $883 million. This was a result of improving economic conditions in most of our markets as well as our consistently robust risk management processes and underwriting standards. Consumer Banking also benefitted from a largely secured lending portfolio. The Wholesale Banking impairment charge, which was driven by a small number ...

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  • To illustrate why the ring-fencing of market making activities would be that detrimental an example can be provided: Since the Liikanen Report does not recommend including underwriting within the ring-fence, commercial banks could still engage in these activities. Nevertheless, if these banks were to go to the secondary market to place these securities, then this activity would be considered as market making and therefore would be included in the ring-fencing scope.

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  • A higher-risk CMO tranche could, for example, have an average life that changes from 2 years to 20 years with even a modest increase in interest rates. Higher risk refers here to the cash flow variability of the tranche, not its credit quality, although underwriters can create structured securities that combine higher average life sensitivity with lower credit quality. The highest yields go to those tranches that, by design, exhibit the most volatile average lives. Such tranches receive excess principal cash when prepayments rise, and pay off early.

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  • The scope of ASC 320 includes only those equity securities that have readily determinable fair values (e.g., equity securities issued by a public company). However, equity securities issued by a public company are excluded from the scope of ASC 320 if those securities are restricted and that restriction does not terminate within one year of the reporting date. Restricted securities are securities whose sale is contractually or governmentally prohibited.

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  • Under §16(b) of the Securities Exchange Act of 1934, a corporation orsecurity holder of that corporation may sue corporate insiders who realize profits from the purchase and sale, or sale and purchase, of the corporation’s securities within any 6-month period. The Act provides that such suits must be brought within “two years after thedate such profit was realized.” 15 U. S. C. §78p(b).

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  • This chapter is about Wall Street firms and highlights what are typically referred to as investment banks, the premier players in the capital markets. We discuss investment banks' original primary business activities of underwriting new securities sold in the primary markets and their role as dealers and brokers in the secondary markets.

    ppt29p nomoney12 04-05-2017 29 1   Download



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