18Th ABMF Agenda
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Final Rule: Investment Company Reporting Modernization
SECURITIES AND EXCHANGE COMMISSION 17 CFR Parts 200, 210, 232, 239, 240, 249, 270, 274 [Release Nos. 33-10231; 34-79095; IC-32314; File No. S7-08-15] RIN 3235-AL42 INVESTMENT COMPANY REPORTING MODERNIZATION AGENCY: Securities and Exchange Commission. ACTION: Final rule. SUMMARY: The Securities and Exchange Commission is adopting new rules and forms as well as amendments to its rules and forms to modernize the reporting and disclosure of information by registered investment companies. The Commission is adopting new Form N-PORT, which will require certain registered investment companies to report information about their monthly portfolio holdings to the Commission in a structured data format. In addition, the Commission is adopting amendments to Regulation S-X, which will require standardized, enhanced disclosure about derivatives in investment company financial statements, as well as other amendments. The Commission is adopting new Form N-CEN, which will require registered investment companies, other than face-amount certificate companies, to annually report certain census-type information to the Commission in a structured data format. The Commission is adopting amendments to Forms N-1A, N-3, and N-CSR to require certain disclosures regarding securities lending activities. Finally, the Commission is rescinding current Forms N-Q and N-SAR and amending certain other rules and forms. Collectively, these amendments will, among other things, improve the information that the Commission receives from investment companies and assist the Commission, in its role as primary regulator of investment companies, to better fulfill its mission of protecting investors, maintaining fair, orderly and efficient markets, and facilitating capital formation. -
FIRDS Reference Data Reporting Instructions
Reporting Instructions FIRDS Reference Data System 17 September 2020 | ESMA 65-11-1193 Date: 17 September 2020 ESMA 65-11-1193 Document control: Version Date Author Comments 1.0 26/10/2016 ESMA Version 1 for publication 1.1 12/06/2017 ESMA Version 1.1 for publication 2.0 31/10/2018 ESMA Changes applicable to the major maintenance release planned Q1 2019 – XML Schema 1.1.0 Corrections and clarifications 2.1 02/09/2019 ESMA Removal of SI’s and APA’s requirement to report Non-Working days New CFI based validations 02082019 2.2 25/08/2020 ESMA Cancellation of records New CFI based validations 02/03/2020 2.3 17/09/2020 ESMA Cancellation of records - Updated Reference documents: Ref Title Version Author Date 1 MiFIR - REGULATION (EU) No 600/2014 European 15 May 2014 600/2014 OF THE Parliament EUROPEAN PARLIAMENT Council of AND OF THE COUNCIL of 15 Europe May 2014 (Article 27) 2 MAR - REGULATION (EU) No 596/2014 European 16 April 2014 596/2014 OF THE Parliament EUROPEAN PARLIAMENT Council of Europe AND OF THE COUNCIL of 16 April 2014 (Article 4) 3 MiFIR RTS – REGULATION 600/2014 European 14 July 2016 (EU) No 600/2014 OF THE Parliament EUROPEAN PARLIAMENT Council of Europe AND OF THE COUNCIL of 14 July 2016 ESMA • CS 60747 – 201 - 203 rue de Bercy • 75012 • Paris France • Tel. +33 (0) 1 58 36 43 21 • www.esma.europa.eu 2 Date: 17 September 2020 ESMA 65-11-1193 4 MAR RTS – COMMISSION 909/2016 European 1 March 2016 DELEGATED REGULATION (EU) Parliament 2016/909 of 1 March 2016 Council of supplementing Regulation (EU) Europe No 596/2014 of the European Parliament and of the Council with regard to regulatory technical standards for the content of notifications to be submitted to competent authorities and the compilation, publication and maintenance of the list of notifications ESMA • CS 60747 – 201 - 203 rue de Bercy • 75012 • Paris France • Tel. -
David Michehl Subject
MEMORANDUM To: File No. S7-26-15 From: David Michehl Subject: Summary of meeting with representatives from SWIFT Date: January 28, 2016 On January 28, 2016, representatives from the Securities and Exchange Commission’s Division of Trading and Markets (Michael Gaw, Tom Eady, Yvonne Fraticelli, David Michehl, Kathleen Gross, Sarah Albertson, and Justin Pica) and Division of Economic and Risk Analysis (Narahari Phatak, Burt Porter, Walter Hamscher, Hermine Wong, Yee Loon, Mike Willis) met with Paul Janssens (SWIFT). The SWIFT representative discussed issues relating to the use of ISO 20022. In addition, Mr. Janssens provided the staff with an information paper related to ISO 20022. Information paper Standards – A Value Proposition for Regulators Contents About Standards .....................................................................................................3 About SWIFT & Standards .....................................................................................4 Standards & Regulation .........................................................................................6 About ISO 20022 .....................................................................................................8 ISO 20022 & Regional/Global Adoption ................................................................9 Conclusion ............................................................................................................11 3 Standards – A Value Proposition for Regulators About Standards Norms, models, rules, measures, Rather less obvious -
An Architecture for Making Object-Oriented Systems Available from Prolog
An Architecture for Making Object-Oriented Systems Available from Prolog Jan Wielemaker and Anjo Anjewierden Social Science Informatics (SWI), University of Amsterdam, Roetersstraat 15, 1018 WB Amsterdam, The Netherlands, {jan,anjo}@swi.psy.uva.nl August 2, 2002 Abstract It is next to impossible to develop real-life applications in just pure Prolog. With XPCE [5] we realised a mechanism for integrating Prolog with an external object-oriented system that turns this OO system into a natural extension to Prolog. We describe the design and how it can be applied to other external OO systems. 1 Introduction A wealth of functionality is available in object-oriented systems and libraries. This paper addresses the issue of how such libraries can be made available in Prolog, in particular libraries for creating user interfaces. Almost any modern Prolog system can call routines in C and be called from C (or other impera- tive languages). Also, most systems provide ready-to-use libraries to handle network communication. These primitives are used to build bridges between Prolog and external libraries for (graphical) user- interfacing (GUIs), connecting to databases, embedding in (web-)servers, etc. Some, especially most GUI systems, are object-oriented (OO). The rest of this paper concentrates on GUIs, though the argu- ments apply to other systems too. GUIs consist of a large set of entities such as windows and controls that define a large number of operations. These operations often involve destructive state changes and the behaviour of GUI components normally involves handling spontaneous input in the form of events. OO techniques are very well suited to handle this complexity. -
Double Volume Cap Mechanism: the Impact on EU Equity Markets
ESMA Working Paper No. 3, 2020 DVC mechanism: The impact on EU equity markets Claudia Guagliano, Cyrille Guillaumie, Paul Reiche, Alessandro Spolaore and Arianna Zanon September 2020| ESMA/2020/ WP-2020-3 ESMA Working Paper No. 3, 2020 2 ESMA Working Paper, No. 3, 2020 Authors: Claudia Guagliano, Cyrille Guillaumie, Paul Reiche, Alessandro Spolaore and Arianna Zanon Authorisation: This Working Paper has been approved for publication by the Selection Committee and reviewed by the Scientific Committee of ESMA. © European Securities and Markets Authority, Paris, 2020. All rights reserved. Brief excerpts may be reproduced or translated provided the source is cited adequately. Legal reference of this Report: Regulation (EU) No 1095/2010 of the European Parliament and of the Council of 24 November 2010 establishing a European Supervisory Authority (European Securities and Markets Authority), amending Decision No 716/2009/EC and repealing Commission Decision 2009/77/EC, Article 32 “Assessment of market developments”, 1. “The Authority shall monitor and assess market developments in the area of its competence and, where necessary, inform the European Supervisory Authority (European Banking Authority), and the European Supervisory Authority (European Insurance and Occupational Pensions Authority), the ESRB and the European Parliament, the Council and the Commission about the relevant micro- prudential trends, potential risks and vulnerabilities. The Authority shall include in its assessments an economic analysis of the markets in which financial market participants operate, and an assessment of the impact of potential market developments on such financial market participants.” The charts and analyses in this report are, fully or in parts, based on data not proprietary to ESMA, including from commercial data providers and public authorities. -
Identifiers Documentation
identifiers Documentation Release 0.4.1 Michael Amrhein Dec 11, 2020 Contents 1 Overview 3 1.1 Identifiers standardized by GS1.....................................3 1.2 Identifiers for publications........................................3 1.3 Identifiers for banks and bank accounts.................................4 1.4 Identifiers for exchanges and exchange traded financial assets.....................4 1.5 Identifiers for Value Added Taxation...................................4 2 Common Features 5 3 Identifiers standardized by GS17 4 Identifiers for publications 15 5 Identifiers for banks and bank accounts 19 6 Identifiers for exchanges and exchange traded financial assets 23 7 European Union VAT Registration Number 25 Python Module Index 27 Index 29 i ii identifiers Documentation, Release 0.4.1 This package provides classes that can be used to create and check identifiers for unique objects or unique classes of objects according to international standards. Definition from Wikipedia: “An identifier is a name that identifies (that is, labels the identity of) either a unique object or a unique class of objects, where the “object” or class may be an idea, physical [countable] object (or class thereof), or physical [noncountable] substance (or class thereof). The abbreviation ID often refers to identity, identification (the process of identifying), or an identifier (that is, an instance of identification). An identifier may be a word, number, letter, symbol, or any combination of those.” Contents: Contents 1 identifiers Documentation, Release 0.4.1 2 Contents CHAPTER 1 Overview 1.1 Identifiers standardized by GS1 See http://www.gs1.org/id-keys. • Global Trade Item Number (GTIN) Used to identify products and services. Variants: GTIN12, GTIN13, GTIN14 • Global Location Number (GLN) Used to identify parties and locations, for example companies, warehouses, factories and stores. -
DOC: Advent Portfolio Exchange Release 3
Public SQL Views in Advent Portfolio Exchange Release 3 CONFIDENTIAL — DO NOT DISTRIBUTE NOTICE The software described in this document is furnished under a license agreement. The software may be used or copied only in accordance with the terms of the agreement. No part of this document may be reproduced or transmitted in any form or by any means, electronic or mechanical, including photocopying and recording, for any purpose without the express written permission of Advent Software, Inc. Information in this document may be revised from time to time without notice. This document, which is provided solely to Licensees of Advent Software, Inc., is confidential and proprietary. U.S. Government Users: Use, duplication, or disclosure is subject to the restrictions as set forth in the Rights in Technical Data and Computer Software clause at DFARS 252.227-7013 subparagraph (c)(1)(ii), or the Commercial Computer Software -- Restricted Rights at CFR 52.227-19, subparagraphs (c)(1) and (2), as applicable. Manufacturer is Advent Software, Inc. 600 Townsend Street, San Francisco, CA 94103 Copyright 2011 by Advent Software, Inc. All rights reserved. NOTE: All names of individuals that may appear in any displays herein are fictitious. Any similarity to the names of any persons living or dead is unintentional and strictly coincidental. Part number: APXSQL3U2b Release number: Advent Portfolio Exchange Release 3 Publication date: February 2011 Advent, the Advent logo, Advent Browser Reporting, Advent Corporate Actions, Advent INX, Advent Office, AdventOnDemand, Advent Packager, Advent Partner, Advent Portfolio Exchange, Advent Revenue Center, Advent Rules Manager, Advent Software, Inc., Advent TrustedNetwork, Advent Warehouse, Axys, Geneva, Moxy, MyAdvent, Portfolio Exchange, Qube, Rex, SmartClick, and WealthLine are registered trademarks of Advent Software, Inc. -
DSB Questions and Answers
DSB Q&A Document December 2017 Contents General Information ............................................................................................................................... 3 1.1 DSB Governance ...................................................................................................................... 3 1.2 DSB Scope ............................................................................................................................... 3 1.3 DSB Documentation ................................................................................................................ 4 1.4 User Categories ....................................................................................................................... 4 1.5 Connectivity ............................................................................................................................ 5 1.6 How to access DSB data .......................................................................................................... 5 1.7 Third party Risk Management/Info Sec doc ........................................................................... 6 1.8 CFI Code .................................................................................................................................. 6 1.9 Issuer or Operator of the Trading Venue ................................................................................ 6 1.10 DSB ISIN Usage and associated reporting ............................................................................... 6 1.11 -
ISO Update Supplément À L'isofocus
ISO Update Supplément à l'ISOfocus Avril 2021 Les Normes internationales en chantier ISO/DTS Lubrifiants, huiles industrielles et produits con- 6521-2 nexes (Classe L) — Famille D (Compresseurs) Une Norme internationale résulte d’un accord entre les com- — Partie 2: Spécifications des catégories DAH, ités membres de l’ISO. Dans l’établissement d’une Norme interna- DAI et DAJ (Lubrifiants pour compresseurs tionale, le premier stade important est celui du projet de comité (CD) d’air rotatifs à injection d’huile) - qui est diffusé pour examen au sein d’un comité technique de l’ISO. TC 30 Mesure de débit des fluides dans les Lorsqu’un consensus a été obtenu au niveau du comité technique, le conduites fermées document est adressé au Secrétariat central pour traitement en tant que projet de Norme internationale (DIS). Le DIS doit être approuvé ISO/CD 24460 Titre manque par 75 % au moins des comités membres ayant exprimé un vote. Un TC 34 Produits alimentaires vote de confirmation est ensuite effectué sur le projet final de norme ISO/CD 7927-1 Titre manque — Partie 1: Titre manque internationale (FDIS). Les critères d'approbation restant les mêmes. ISO/CD 7927-2 Titre manque — Partie 2: Titre manque TC 35 Peintures et vernis ISO/CD 8130-4 Poudres pour revêtement — Partie 4: Calcul de la limite inférieure d'explosibilité ISO/CD Préparation des subjectiles d'acier avant ap- 11127-7 plication de peintures et de produits assimilés — Méthodes d'essai pour abrasifs non métal- liques destinés à la préparation par projec- CD enregistrés tion — Partie 7: Détermination des chlorures solubles dans l'eau TC 38 Textiles Période du 01 mars au 01 avril 2021 ISO/CD 24040 Textiles - Détermination de certains composés Ces documents sont actuellement à l’étude par le comité technique. -
Global Equity Data Fundamentals Confidential
Morningstar, Inc. Global Equity Data Fundamentals Confidential Global Equity Data User’s Definitions Operational page 2 Profile page 6 Proprietary page 8 Ratios page 12 Valuation page 18 Raw Fundamentals Income Statement page 21 Balance Sheet page 43 Cash Flow page 71 Earnings Report/EPS and Share page 90 TTM page 92 Price/Returns page 92 Alpha/Beta page 96 Statistics page 97 Currency Exchange page 98 Corporate Calendar page 99 Ownership/Short Interest page 99 Ownership Detail page 101 Insider Trading Activities page 101 Corporate Actions page 103 Executive Insight page 108 Consensus Recommendations page 113 Consensus Estimates page 114 Say on Pay page 120 Voting Report page 121 Quantitative Data page 122 Questions: 1-800-775-8118 or [email protected] 1 Morningstar, Inc. Global Equity Data Fundamentals Confidential Operational CompanyId (1) 10-digit unique and unchanging Morningstar identifier assigned to every company. ShortName (2) 25-character max abbreviated name of the firm. In most cases, the short name will simply be the Legal Name less the “Corporation”, “Corp.”, “Inc.”, “Incorporated”, etc… StandardName (3) The English translation of the foreign legal name if/when applicable. LegalName (4) The full name of the registrant as specified in its charter, and most often found on the front cover of the 10K/10Q/20F filing. CountryId (5) 3 Character ISO code of the country where the firm is domiciled. See separate reference document for Country Mappings. CIK (6) The Central Index Key; a corporate identifier assigned by the Securities and Exchange Commission (SEC). CompanyStatus (9) At the Company level; each company is assigned to 1 of 3 possible status classifications; (U) Public, (V) Private, or (O) Obsolete: Public-Firm is operating and currently has at least one common share class that is currently trading on a public exchange. -
Prolog Programming a First Course
Prolog Programming A First Course Paul Brna March 5, 2001 Abstract The course for which these notes are designed is intended for undergraduate students who have some programming experience and may even have written a few programs in Prolog. They are not assumed to have had any formal course in either propositional or predicate logic. At the end of the course, the students should have enough familiarity with Prolog to be able to pursue any undergraduate course which makes use of Prolog. This is a rather ambitious undertaking for a course of only twelve lectures so the lectures are supplemented with exercises and small practical projects wherever possible. The Prolog implementation used is SICStus Prolog which is closely mod- elled on Quintus Prolog (SICS is the Swedish Institute of Computer Science). The reference manual should also be available for consultation [SICStus, 1988]. °c Paul Brna 1988 Contents 1 Introduction 1 1.1 Declarative vs Procedural Programming . 1 1.2 What Kind of Logic? . 1 1.3 A Warning . 2 1.4 A Request . 2 2 Knowledge Representation 3 2.1 Propositional Calculus . 3 2.2 First Order Predicate Calculus . 4 2.3 We Turn to Prolog ....................... 5 2.4 Prolog Constants . 7 2.5 Goals and Clauses . 8 2.6 Multiple Clauses . 8 2.7 Rules . 9 2.8 Semantics . 10 2.9 The Logical Variable . 11 2.10 Rules and Conjunctions . 12 2.11 Rules and Disjunctions . 13 2.12 Both Disjunctions and Conjunctions . 14 2.13 What You Should Be Able To Do . 15 3 Prolog’s Search Strategy 16 3.1 Queries and Disjunctions . -
SAP Enhancement Package 7 for SAP ERP 6.0, SAP® What's New? – Release Notes
Release Notes for SAP enhancement package 7 for SAP ERP 6.0, SAP® What's New? – Release Notes Copyright © Copyright 2012 SAP AG. All rights reserved. Document classification: CUSTOMER No part of this publication may be reproduced or transmitted in any form or for any purpose without the express permission of SAP AG. The information contained herein may be changed without prior notice. No part of this publication may be reproduced or transmitted in any form or for any purpose without the express permission of SAP AG. The information contained herein may be changed without prior notice. Some software products marketed by SAP AG and its distributors contain proprietary software components of other software vendors. Microsoft, Windows, Excel, Outlook, PowerPoint, Silverlight, and Visual Studio are registered trademarks of Microsoft Corporation. IBM, DB2, DB2 Universal Database, System i, System i5, System p, System p5, System x, System z, System z10, z10, z/VM, z/OS, OS/390, zEnterprise, PowerVM, Power Architecture, Power Systems, POWER7, POWER6+, POWER6, POWER, PowerHA, pureScale, PowerPC, BladeCenter, System Storage, Storwize, XIV, GPFS, HACMP, RETAIN, DB2 Connect, RACF, Redbooks, OS/2, AIX, Intelligent Miner, WebSphere, Tivoli, Informix, and Smarter Planet are trademarks or registered trademarks of IBM Corporation. Linux is the registered trademark of Linus Torvalds in the United States and other countries. Adobe, the Adobe logo, Acrobat, PostScript, and Reader are trademarks or registered trademarks of Adobe Systems Incorporated in the United States and other countries. Oracle and Java are registered trademarks of Oracle and its affiliates. UNIX, X/Open, OSF/1, and Motif are registered trademarks of the Open Group.