MFA Comment Letters

Topic: business continuity

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

MFA Comments to IOSCO on Consultation Report on Principles for the Valuation of Hedge Fund Portfolios06.21.07


MFA submits comment letter to IOSCO on its Consultation Report on Principles for the Valuation of Hedge Fund Portfolios.

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Topics: absolute return strategies advisory, advocate, anti-money laundering, business continuity, Business Continutiy and Disaster Recovery, CFTC, Checklist for Code of Ethics, Checklist for Compliance Manuals, Commodity Futures Trading Commision, conflicts of interest, Congress, consistency, data vendors, Department of the Treasury, derivative market practices, disaster recovery, Fair Value, Federal Reserve, financial instruments, financial statement close process, FSA, global alternative investment industry, global capital markets, global set of principles, governing body, government bodies, hedge fund management, hedge fund managers, hedge funds, independence, India, Instrument, internal trading controls, investment portfolio, Investment Portfolios, Investor Protection, investors, IOSCO, IOSCO Report, IOSCO's 2007 32nd Annual Conference, key market soundness, macro-level guidance, major dealers, Management and Internal Trading Controls, market prices, material obstacles, MFA's 2005 Sound Practices, mission-critical, Mumbai., NAV, net asset value, operational framework, organized exchanges, portfolio strategies, President's Working Group on Financial Markets, price validation, pricing poliies and sources, private sector, public, PWG, Regulatory Controls, Responsibilites to Investors, risk management, risk monitoring, SEC, Securities and Exchange Committee, Securities Exchange Board of India, state agencies, third parties, Third Party Service Providers, Transactional Practices, transparency, U.S. regulatory Filings, United Kingdom's Financial Services Authority, United States, valuation, valuation of investments, Valuation Policies and Procedures,
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