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Brewin Dolphin Select Managers Fund
MI Brewin Dolphin Select Managers Fund Annual Report 28 February 2019 MI Brewin Dolphin Select Managers Fund Contents Page Directory* . 1 Statement of the Authorised Corporate Director’s Responsibilities . 2 Certification of the Annual Report by the Authorised Corporate Director . 2 Statement of the Depositary’s Responsibilities . 3 Independent Auditor’s Report to the Shareholders . 4 MI Select Managers Bond Fund Investment Objective and Policy* . 6 Investment Adviser's Report* . 6 Portfolio Statement* . 8 Comparative Table* . 24 Statement of Total Return . 26 Statement of Change in Net Assets Attributable to Shareholders . 26 Balance Sheet . 27 Notes to the Financial Statements . 28 Distribution Table . 40 MI Select Managers North American Equity Fund Investment Objective and Policy* . 41 Investment Adviser's Report* . 41 Portfolio Statement* . 43 Comparative Tables* . 49 Statement of Total Return . 51 Statement of Change in Net Assets Attributable to Shareholders . 51 Balance Sheet . 52 Notes to the Financial Statements . 53 Distribution Tables . 60 MI Select Managers UK Equity Fund Investment Objective and Policy* . 61 Investment Adviser's Report* . 61 Portfolio Statement* . 63 Comparative Tables* . 72 Statement of Total Return . 74 Statement of Change in Net Assets Attributable to Shareholders . 74 Balance Sheet . 75 Notes to the Financial Statements . 76 Distribution Tables . 83 MI Select Managers UK Equity Income Fund Investment Objective and Policy* . 84 Investment Adviser's Report* . 84 Portfolio Statement* . 86 Comparative Tables* . 92 Statement of Total Return . 94 Statement of Change in Net Assets Attributable to Shareholders . 94 Balance Sheet . 95 Notes to the Financial Statements . 96 Distribution Tables . 103 General Information* . 104 *These collectively comprise the Authorised Corporate Director’s Report. -
Giovannini Barrier 4 and 7
Giovannini Barrier 4 and 7 Godfried de Vidts and Mark Austen Joint submission of European Primary Dealers Association and the European Repo Committee Clearing and Settlement Advisory and Monitoring Experts’ Group 12 June 2006 EPDA Mission EPDA Mandate Provide a representative forum for EMU government primary dealers Address, seek consensus and resolve primary and secondary market issues in EMU government bond markets Focus on integration and efficiency of European government bond markets EPDA Objectives Consult with key market participants, including EU DMOs/Treasuries, Central Banks, EU Commission and ECB on: Recommendations for efficient primary market procedures and practices Promotion of an efficient, integrated, transparent and liquid secondary market Providing best practice recommendations Issuing comment letters on regulatory and legal proposals Information, education and research projects and conferences 21 EPDA Executive Members Executive members represent 164 dealerships in the EMU ABN Amro ING Bank Barclays Capital J.P. Morgan BNP Paribas Lehman Brothers Calyon Merrill Lynch IXIS CIB Morgan Stanley Citigroup Nomura Securities Credit Suisse RBS Deutsche Bank Société Générale Dresdner Bank UBS Goldman Sachs Unicredit Banca Mobiliare HSBC 15 EPDA Clearing and Settlement Working Group Representatives from Clearing and Settlement departments Barclays Capital HSBC BNP Paribas ING Bank IXIS CIB J.P. Morgan Citigroup Credit Suisse Lehman Brothers Deutsche Bank Merrill Lynch Dresdner Bank Nomura Securities Goldman Sachs UBS ICMA -
The Charles Schwab Corporation (Exact Name of Registrant As Specified in Its Charter)
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 22, 2019 The Charles Schwab Corporation (Exact name of registrant as specified in its charter) Commission File Number: 1-9700 Delaware 94-3025021 (State or other jurisdiction (I.R.S. Employer of incorporation) Identification No.) 211 Main Street, San Francisco, CA 94105 (Address of principal executive offices, including zip code) (415) 667-7000 (Registrant’s telephone number, including area code) N/A (Former name or former address, if changed since last report) Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions: ☐ Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425) ☐ Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12) ☐ Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b)) ☐ Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c)) Securities registered pursuant to Section 12(b) of the Act: Title of each class Trading Symbol(s) Name of each exchange on which registered Common Stock – $.01 par value per share SCHW New York Stock Exchange Depositary Shares, each representing a 1/40th ownership interest in a share of 6.00% Non-Cumulative Preferred Stock, Series C SCHW PrC New York Stock Exchange Depositary Shares, each representing a 1/40th ownership interest in a share of 5.95% Non-Cumulative Preferred Stock, Series D SCHW PrD New York Stock Exchange Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (§230.405 of this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (§240.12b-2 of this chapter). -
Nomura Securities International, Inc. (“Nomura” Or “Respondent”)
UNITED STATES OF AMERICA Before the SECURITIES AND EXCHANGE COMMISSION SECURITIES EXCHANGE ACT OF 1934 Release No. 86372 / July 15, 2019 ADMINISTRATIVE PROCEEDING File No. 3-19248 ORDER INSTITUTING In the Matter of ADMINISTRATIVE PROCEEDINGS PURSUANT TO SECTION 15(b) OF NOMURA SECURITIES THE SECURITIES EXCHANGE ACT INTERNATIONAL, INC., OF 1934, MAKING FINDINGS, AND IMPOSING REMEDIAL SANCTIONS Respondent. I. The Securities and Exchange Commission (“Commission”) deems it appropriate and in the public interest that public administrative proceedings be, and hereby are, instituted pursuant to Section 15(b) of the Securities Exchange Act of 1934 (“Exchange Act”) against Nomura Securities International, Inc. (“Nomura” or “Respondent”). II. In anticipation of the institution of these proceedings, Respondent has submitted an Offer of Settlement (the “Offer”) which the Commission has determined to accept. Solely for the purpose of these proceedings and any other proceedings brought by or on behalf of the Commission, or to which the Commission is a party, admitting only the Commission’s jurisdiction over it and the subject matter of these proceedings, Respondent consents to the entry of this Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions (“Order”), as set forth below. III. On the basis of this Order and Respondent’s Offer, the Commission finds1 that: Summary 1. These proceedings arise out of Nomura’s failure reasonably to supervise three -
Market Monitor
MARKET MONITOR M&A and financing update 1st Quarter 2020 “There are decades where nothing happens; and there are weeks where decades happen” said Vladimir Lenin Indeed for many of us, the last few weeks of “interesting times” seemed undoubtedly like decades. We are hearing “unprecedented” as often as “coronavirus”. An increasingly common sentiment is that “this time is different.” Lately, the comparisons to past events such as the Great Recession, September 11th, and Black Monday have been questioned. But, relatively little attention has been given to the oil price shock that may have more significant long-term economic implications than COVID-19. The lack of precedent, or our ability to recognize precedent where it’s relevant, will test leadership at all levels of the U.S. economy as monetary, fiscal, and regulatory policy levers are being pulled to create a baseline and a path forward. From February 11th to March 12th, the Dow Industrial average dropped 28%, sending the U.S. into a bear market. On March 9th the stock market experienced its first trading halt when the S&P 500 declined 7%. The capital markets took notice and continued forward. On March 12th when the second trading halt occurred the gravity of the situation intensified and the capital markets began to pause. By noon, almost every M&A sale process was stopped due to the very real threat of COVID-19 on the U.S. economy as the hospitality industry closed its doors, social gathering was restricted by local governments, and employers quickly shifted to work from home models. -
In a Year of Contraction, Asia Feels the Ripple Effect of Mifid II 2016 Greenwich Leaders: Asian Equities
In a Year of Contraction, Asia Feels the Ripple Effect of MiFID II 2016 Greenwich Leaders: Asian Equities Q1 2017 Three global brokers are pulling away from the pack in the Asian equity research/advisory business—a break from historical patterns characterized by a more gradual slope among major competitors. Credit Suisse, Bank of America Merrill Lynch and Morgan Stanley are statistically deadlocked atop the list of 2016 Greenwich Leaders in Asian Equity Research/Advisory Vote Share. These three firms have opened a significant lead over UBS, CLSA Asia-Pacific Markets and J.P. Morgan, which are also virtually tied in terms of vote share and round out the list of this year’s winners. In Asian Equity Trading, the same three firms are statistically tied for the top spot in overall share, but in this business, their lead over fellow Greenwich Share Leaders CLSA, UBS and Citi is much narrower. In the growing algorithmic trading business, Bank of America Merrill Lynch widened its lead over the competition. Credit Suisse and Morgan Stanley claim the title of 2016 Greenwich Quality Leaders in Asian Equity Research Product & Analyst Service, and Greenwich Share Leaders — 2016 GREENWICH ASSOCIATES Greenwich Share20 1Leade6r Asian Equity Research/Advisory Vote Share Asian Equity Algorithmic Trading Share Broker Statistical Rank Broker Statistical Rank Credit Suisse 1T Bank of America Merrill Lynch 1 Bank of America Merrill Lynch 1T UBS 2T Morgan Stanley 1T Morgan Stanley 2T UBS 4T Credit Suisse 2T CLSA Asia-Pacific Markets 4T Goldman Sachs 5T J.P. Morgan 4T Citi 5T ITG 5T Asian Equity Trading Share, Options & Volatility Product Important Relationships—Asia Broker Statistical Rank* Broker Statistical Rank Morgan Stanley 1T Morgan Stanley 1T Bank of America Merrill Lynch 1T Goldman Sachs 1T Credit Suisse 1T Bank of America Merrill Lynch 3T CLSA Asia-Pacific Markets 4T Deutsche Bank 3T UBS 4T J.P. -
2Q21 GS Earnings Release
Second Quarter 2021 Earnings Results Media Relations: Andrea Williams 212-902-5400 Investor Relations: Carey Halio 212-902-0300 The Goldman Sachs Group, Inc. 200 West Street | New York, NY 10282 Second Quarter 2021 Earnings Results Goldman Sachs Reports Second Quarter Earnings Per Common Share of $15.02 and Increases the Quarterly Dividend to $2.00 Per Common Share “Our second quarter performance and record revenues for the first half of the year demonstrate the strength of our client franchise and our continued progress on our strategic priorities. While the economic recovery is underway, our clients and communities still face challenges in overcoming the pandemic. But, as always, I am proud of the dedication and resilience of our people, who have worked tirelessly to help our clients navigate the ever-changing market environment.” - David M. Solomon, Chairman and Chief Executive Officer Financial Summary Net Revenues Net Earnings EPS 2Q $15.39 billion 2Q $5.49 billion 2Q $15.02 2Q YTD $33.09 billion 2Q YTD $12.32 billion 2Q YTD $33.64 Annualized ROE1 Annualized ROTE1 Book Value Per Share 2Q 23.7% 2Q 25.1% 2Q $264.90 2Q YTD 27.3% 2Q YTD 28.9% YTD Growth 12.2% NEW YORK, July 13, 2021 – The Goldman Sachs Group, Inc. (NYSE: GS) today reported net revenues of $15.39 billion and net earnings of $5.49 billion for the second quarter ended June 30, 2021. Net revenues were $33.09 billion and net earnings were $12.32 billion for the first half of 2021. Diluted earnings per common share (EPS) was $15.02 for the second quarter of 2021 compared with $0.53 for the second quarter of 2020 and $18.60 for the first quarter of 2021, and was $33.64 for the first half of 2021 compared with $3.66 for the first half of 2020. -
Td Bank Group Q 2 202 1 Earnings Conference Call May 2 7 , 202 1 Disclaimer
TD BANK GROUP Q 2 202 1 EARNINGS CONFERENCE CALL MAY 2 7 , 202 1 DISCLAIMER THE INFORMATION CONTAINED IN THIS TRANSCRIPT IS A TEXTUAL REPRESENTATION OF THE TORONTO-DOMINION BANK’S (“TD”) Q2 2021 EARNINGS CONFERENCE CALL AND WHILE EFFORTS ARE MADE TO PROVIDE AN ACCURATE TRANSCRIPTION, THERE MAY BE MATERIAL ERRORS, OMISSIONS, OR INACCURACIES IN THE REPORTING OF THE SUBSTANCE OF THE CONFERENCE CALL. IN NO WAY DOES TD ASSUME ANY RESPONSIBILITY FOR ANY INVESTMENT OR OTHER DECISIONS MADE BASED UPON THE INFORMATION PROVIDED ON TD’S WEB SITE OR IN THIS TRANSCRIPT. USERS ARE ADVISED TO REVIEW THE WEBCAST (AVAILABLE AT TD.COM/INVESTOR) ITSELF AND TD’S REGULATORY FILINGS BEFORE MAKING ANY INVESTMENT OR OTHER DECISIONS. FORWARD - LOOKING INFORMATION From time to time, the Bank (as defined in this document) makes written and/or oral forward-looking statements, including in this document, in other filings with Canadian regulators or the United States (U.S.) Securities and Exchange Commission (SEC), and in other communications. In addition, representatives of the Bank may make forward-looking statements orally to analysts, investors, the media and others. All such statements are made pursuant to the “safe harbour” provisions of, and are intended to be forward-looking statements under, applicable Canadian and U.S. securities legislation, including the U.S. Private Securities Litigation Reform Act of 1995. Forward-looking statements include, but are not limited to, statements made in this document, in the Quarterly Report to Shareholders for the quarter ended April 30, 2021 under the heading “How We Performed”, including under the sub-headings “Economic Summary and Outlook” and “The Bank's Response to COVID-19”, and under the heading “Managing Risk”, and statements made in the Management’s Discussion and Analysis (“2020 MD&A”) in the Bank’s 2020 Annual Report under the headings “Economic Summary and Outlook” and “The Bank’s Response to COVID-19”, for the Canadian Retail, U.S. -
Blackstone, Goldman Lead $1.25B Bet on City Offices
July 26, 2021 Link to Article Blackstone, Goldman lead $1.25B bet on city offices Blackstone Group Inc. and Goldman Sachs Group Inc. are leading financing for the $1.25 billion redevelopment of a 19th-century warehouse on Manhattan’s west side into a 21st-century office complex. The financing marks the largest construction deal so far this year in Manhattan, according to a statement Friday by L&L Holding Co. and Columbia Property Trust, developers of the Terminal Warehouse, which occupies an entire block in the West Chelsea neighborhood. The project is moving ahead without a major tenant at an uncertain time for New York’s office market. The city has a record amount of space available, and employees have been slow to return from pandemic work-from-home arrangements. Terminal Warehouse is south of Hudson Yards, where new skyscrapers have drawn major financial and technology tenants. “Our ability to secure financing in this current environment is both a testament to the merits of this project as well as a show of the investment community’s continued faith in the future of New York City’s economy,” Robert Lapidus, L&L’s chief investment officer, said in the statement. Blackstone’s real estate debt platform led the financing, with Goldman and KKR & Co. participating in $974 million of senior debt. Oaktree Capital Management led $274 million in junior mezzanine financing in partnership with Paramount Group. “This property is rich in history and we are excited to be part of another high-quality office addition to the growing Hudson Yards and broader west side area of Manhattan,” Michael Eglit, managing director in Blackstone’s Real Estate Debt Strategies group, said in an email. -
Section Ii Geographical List / Liste Géographique 1
SECTION II GEOGRAPHICAL LIST / LISTE GÉOGRAPHIQUE 1 Routing Numbers / Numéros d'acheminement Electronic Paper(MICR) Électronique Papier(MICR) Postal Address - Addresse postale 100 MILE HOUSE, BC 000108270 08270-001 BANK OF MONTREAL Cariboo Mall, P.O. Box 10, 100 Mile House, BC V0K 2E0 001000550 00550-010 CANADIAN IMPERIAL BANK OF COMMERCE 100 Mile House Banking Centre, 1-325 Birch Ave, Box 98, 100 Mile House, BC V0K 2E0 000304120 04120-003 ROYAL BANK OF CANADA 100 Mile House Branch, 200 Birch Ave-PO Box 700, 200 Birch Ave, 100 Mile House, BC V0K 2E0 ABBEY, SK 000300118 00778-003 ROYAL BANK OF CANADA Abbey Branch, Wayne & Cathedral, c/o 120 Centre St, Abbey, SK S0N 0A0 (Sub to 00778) ABBOTSFORD, BC 000107090 07090-001 BANK OF MONTREAL Abbotsford Main, 101-32988 South Fraser Way, Abbotsford, BC V2S 2A8 000107490 07490-001 Highstreet Branch, 3122 Mt.Leham Rd, Abbotsford, BC V2T 0C5 000120660 20660-001 Lower Sumas Mountain, 1920 North Parallell Road, Abbotsford, BC V3G 2C6 000200240 00240-002 THE BANK OF NOVA SCOTIA Abbotsford, #100-2777 Gladwin Road, Abbotsford, BC V2T 4V1 (Sub to 11460) 000211460 11460-002 Clearbrook, PO Box 2151, Clearbrook Station, Abbotsford, BC V2T 3X8 000280960 80960-002 Ellwood Centre, #1-31205 Maclure Road, Abbotsford, BC V2T 5E5 (Sub to 11460) 000251680 51680-002 Glenn Mountain Village, Unit 106 2618 McMillan Road, Abbotsford, BC V3G 1C4 001000420 00420-010 CANADIAN IMPERIAL BANK OF COMMERCE Abbotsford, 2420 McCallum Rd, Abbotsford, BC V2S 6R9 (Sub to 08820) 001001720 01720-010 McCallum Centre, Box 188, Abbotsford, -
RBC Insurance Financial Strength Information
RBC Insurance Financial Strength Information Insurance offered by Liberty Life Insurance Company N1102Kit (1-09) Thank you for your interest in RBC. This booklet contains financial information and other facts about RBC and RBC Insurance. It is designed to help you familiarize yourself with our company. To learn more, please visit our web site, www.rbcinsurance.com\us or contact your insurance advisor. Discover RBC Insurance in the U.S. and create more for your future Integrity of Investment Portfolio Financial Strength Ratings > High quality, diversified and conservatively Fitch: A+ (Strong), 5th highest of 21 managed A.M. Best: A (Excellent), 3rd highest of 16 > Quality of bond portfolio significantly above One of only 39 U.S. life insurance companies to average for our industry maintain a Best rating of “A” or higher for 50 or more years > Diversification among a broad range of companies across many industries Product Offerings > Commercial mortgage loan portfolio well • Traditional annuities • Index annuities diversified by geography and type • Life insurance • Variable annuities Total Investment Portfolio Quality of Bond Portfolio $3.303 billion Average Quality = AA GAAP Book Value 12/31/08 12/31/08 Cash 2.6% Commercial 55.8% Mortgage Loans 17.1% Bonds 22.5% 80.3% 16.6% 4.4% .6% AAA AA A BBB <BBB RBC Insurance® is the brand name for Liberty Life Insurance Company, a part of the global insurance operations of Royal Bank of Canada. Liberty Life Insurance Company is solely responsible for its financial obligations. ®Registered trademarks of Royal Bank of Canada. Used under license. Products not available in all states. -
Annual Financial Statements and Management Report of DZ BANK AG
2017 Annual Financial Statements and Management Report of DZ BANK AG DZ BANK AG 1 2017 Annual Financial Statements and Management Report Contents Contents 02 Management report of DZ BANK AG 06 DZ BANK AG fundamentals 16 Business report 30 Events after the balance sheet date 32 Human resources report and sustainability 38 Outlook 44 Combined opportunity and risk report 152 Annual financial statements of DZ BANK AG 154 Balance sheet as at December 31, 2017 156 Income statement for the period January 1 to December 31, 2017 158 Notes 212 Responsibility statement 213 Independent auditors’ report (translation) 2 DZ BANK AG 2017 Annual Financial Statements and Management Report Management report of DZ BANK AG Contents Management report of DZ BANK AG 06 DZ BANK AG fundamentals 30 Events after the balance sheet date 06 Business model 32 Human resources report 07 Strategic focus as a network-oriented and sustainability central institution and financial services group 32 Human resources report 07 Cooperative Banks / Verbund 32 HR work in the year of the migration 08 Corporate Banking 32 Professional development 08 Retail Banking 32 Training and development of young talent 09 Capital Markets 33 Health management 09 Transaction Banking 33 Work-life balance 33 TeamUp trainee program 10 Management of DZ BANK 33 ‘Verbund First’ career development program 10 Management units 33 Corporate Campus for Management & Strategy 10 Governance 34 DZ BANK Group’s employer branding campaign 13 Key performance indicators 34 Employer awards 13 Management process 34