MFA Comment Letters

Topic: equity securities

MFA and AIMA Submit Letter on Canadian Early Warning Reporting System07.12.13


MFA and AIMA submitted a letter to Canadian regulators in response to proposed amendments to Canada’s Early Warning System and […]

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Topics: Canada AIMA, MFA, Alternative Investment Management Association, Canadian Early Warning Reporting System, EWR, British Columbia Securities Commission, Alberta Securities Commission, Financial and Consumer Affairs Authority of Saskatchewan, Manitoba Securities Commission, Ontario Securities Commission, Autorite des Marches Financiers, New Brunswick Securities Commission, Superintendent of Securities Prince Edward Island, Nova Scotia Securities Commission, Securities Commission of Newfoundland and Labrador, Superintendent of Securities Yukon Territory, Superintendent of Securities Northwest Territories, Superintendent of Securities Nunavut, United Kingdom, transparency, securities law, Andrew Vollmer, Paul Wolfson, Alternative Monthly Reporting, shareholders, total return swaps, contracts for difference, derivatives, OTC derivatives, eligible institutional investor, institutional investors, board of directors, regulatory regime, capital markets, Ronald Gilson, Jeffrey Gordon, Brian Cheffins, Nickolay Gantchev, Chotibhak Jotikasthira, activist hedge fund, Hedge Funds Review, Canadian Coalition for Good Governance, National Bureau of Economic Research, corporate governance, remuneration, return on assets, performance, Kimber Report, investor reporting, reporting, non-objecting beneficial owners, beneficial owners, TSX, TSX Venture Exchange, System for Electronic Document Analysis and Retrieval, SEDAR, System for Insider Data on Insiders, SEDI, Yahoo!Finance, Stockhouse, Seeking Alpha, Reuters, StockCharts, Google Finance, Morningstar, Australia, Securities and Exchange Commission, SEC, disclosure and transparency rules, voting shares, equity securities, Financial Conduct Authority, FCA, London Stock Exchange, Issuer, Counterparty, relevant interests, Australian Securities and Investments Commission, ASIC, qualified investors, banks, broker-dealer, investment company, Bank of Canada, hedge funds, New York Stock Exchange, Australian Stock Exchange, liquidity, TMX Group Limited, Canada Pension Plan Investment Board, Ontario Teachers' Pension Plan, OMERS Administration Corporation, British Columbia Investment Management Corporation, The Caisse de depot et placement du Quebec, Alberta Investment Management Corporation, Ward Phillips & Vineberg LLP, confidentiality, cost-benefit analysis, disclosures, hedging, TELUS Corporation,

Comment Letter to the Department of Labor in Response to the Departments Proposed Rule to Amend the Definition of Fiduciary Under ERISA02.03.11


MFA submitted a comment letter to the Department of Labor in response to the Departments proposed rule to amend the […]

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Topics: Employee Benefits Security Administration Department of Labor, DOL, ERISA, alternative investment vehicles, hedge funds, diversification, risk management, equity markets, fixed income markets, Joseph Dear, California Public Employees' Retirement System, Senate Banking Subcommittee on Securities, Insurance and Investment, pension fund, rate of return, fee structure, performance fee, total returns, hedge fund managers, risk-adjusted returns, high water marks, government safety new, pooled investment funds, Congress, Securities and Exchange Commission, SEC, Commodity Futures and Exchange Commission, CFTC, non-plan asset funds, plan asset vehicles, general partner, DOL regulations, equity securities, plan assets, market concern, Investor Protection, private investment fund, principal underwriter, fiduciary, appraisals, pricing services, custodians, appraisers, managing member, Internal Revenue Code, pooled investment vehicles, fiduciary liability insurance. prime brokerage, daily mark, swap counterparty, fund administration agreements, asset-based fee compensation, prohibited transaction provisions, net asset value, hard-to-value, private equity holdings, real estate holdings, side-pocket investments, appraisal of property, investment advisers, valuation firm, hedge fund manager, private pension, good faith estimate, may be considered standard, significantly influence standard, ERISA fiduciaries, mutual understanding, valuation of assets, "may be considered" advice, risk appetites, tailored advice, pooled investment fund, exemption applications, transaction reversal, excise taxes, selling exception, due diligence, adverse, marketing services, impartial investment advice, purchaser, seller, bilateral agreement, default, derivative markets, short sales, options, structured products, futures, settlement accommodations, overdraft coverage, inadvertent fiduciary status, pooled vehicle, market color, prime brokers, general partners,

MFA Letter to UK Financial Services Authority to Proposed Short Selling Disclosure Measures05.08.09


MFA submitted a letter to the U.K. Financial Services Authority in response to its proposed short selling disclosure measures, recommending […]

MFA Submits Joint Letter to SEC on Proposed Revisions to Rules to Shorten Restricted Security Holding Periods09.21.07


MFA submits comments to the SEC in a joint letter with the Securities Industry and Financial Markets Association and the […]

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Topics: Securities and Exchange Commission SEC, Securities Industry and Financial Markets Association, SIFMA, International Swaps and Derivatives Association, ISDA, securities, banks, asset managers, privately negotiated derivatives industry, hedge funds, managed futures funds, underwriter, security-holders, broker dealers, affiliates, Issuer, public markets, Investor Protections, public resales, Holding Period, liquidity, capital, tolling, restricted security holding periods, shell companies, equity securities, hedging activities, transaction, Securities Industry Association, Jesse M. Brill, SIA, brokerage firms, institutional investors, derivative positions, holding periods, hedging periods, long posistion, long-equivalent, short, short-equivalent, disaster recovery, business continuity, prime brokers, clearing brokers, Portfolios, risk management strategies, account managers, trading desks, institutional holders, significant costs, compliance, pilot basis, Net Notional Amounts, safe harbor, private capital formation, short call option posistion, shares, relevant unit, Aggression, Single Trading Strategy, business units, buy-side, sell side, information sharing, regulatory requirements, client confidentiality, holder, monitor, record, track, verify, market, client driven, Partial Hedging, doctrine of fungibility, convertible debt, noncovertible debt, restricted debt securities, credit exposures, Goldman Sachs & Co., pre-paid forward contracts, Goldman Sachs II, forward and option contractsm sales, Baskets of Securities or Indices, basket, index, Nonconvertible Debt Securities, Fixed Income Exchange, class relief, Powershares Exchange-Traded Fund Trust (ETF), exchange traded index funds (ETF), S&P 500 securities, New York Stock Exchange, Chicago Board Options exchange, Transfer Restrictions, bids, resecuritization, domestic issuers, Reasonale Belief, Reliance on Represenatons, internal information barrier, transparency, preferred stock, asset-backed securities, inter-dealer quotation systems, VWAP Trades, volume-weighted average prices, qualified institutional buyers, usual and customary, executioms, market makers, volume limitations, FINRA/NASD rule 2320, aggregate resales, Form 144, Form 4, restricted security holders, seller, Form D filing, unaffiliated seller, director, executive officer, ten percent beneficial owner, multiple accounts, portfolio managers, Restrictive legends, de-legending, private placement, Staff Interpretive Posistions, Cashless Exercises, deminimis exercise prices, nominal exercise prices, pennies per share, Former Shell Company, Form 10 information, over-the-counter derivatives, OTC derivatives, fund of funds, credit default swap, CDS, alternative trading systems, actual knowledge standard, FINRA, Financial Industry Regulatory Authority,
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