Question 8 Q: What information must institutional investment managers report on Form 13F? A: Among other things, form 13F filings must include: the issuer name of all Section 13(f) securities (which should be listed in alphabetical order a description of the class of security listed (. G., common stock, put/call option, class A shares, convertible debenture the number of shares owned; and the fair market value of the securities listed, as of the end of the calendar quarter. Question 8b Q: Should a manager use the trade date or the settlement date for reporting purposes? A: The trade date. What do i need to prepare the form?
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See section 13(d 1) of the securities Exchange Act. The Official List of Section 13(f) Securities primarily includes. Exchange-traded stocks (. G., nyse, amex, nasdaq shares of closed-end investment companies, and essay shares of exchange-traded funds (ETFs). . Certain convertible debt securities, equity options, and warrants are on the Official List and may be reported. But see section 13(f 4) (referring to equity securities of a class referred to in Exchange Act essay section 13(d 1) and exemptive rules 12a-4 and 12a-9 under the Exchange Act. Securities that are not on the Official List should not be reported on Form 13F. G., rule 13f-1(c) under the securities Exchange Act. For example, shares of open-end investment companies,. E., mutual funds, are not included on the list and, therefore, should not be reported on Form 13F.
A: An institutional investment manager exercises investment discretion if: (i) the manager has the power to determine which securities are bought or sold for the account(s) essays under management; or (ii) the manager makes decisions about which securities are bought or sold for the account(s even. See securities Exchange Act Section 3(a 35), and Rule 13f-1(b) under the securities Exchange Act. A manager also has investment discretion with respect to all accounts over which any natural person, company, or government instrumentality under its control exercises investment discretion. For example, by virtue of their corporate relationship, bank holding companies share investment discretion with their bank trust departments, and parent corporations share investment discretion with their subsidiaries. Question 7 Q: What are "Section 13(f) securities"? A: These are securities that may be reported on Form 13F. A list of these securities - called the Official List of Section 13(f) Securities - is available shortly after the end of each calendar quarter on the sec's website,. Section 13(f) securities are equity securities of a class described in Section 13(d 1) of the securities Exchange Act.
A: Yes, if they: (1) use any means or instrumentality of United States interstate commerce in the all course of their business; and (2) exercise investment discretion over 100 million or more in Section 13(f) securities. See section 13(f 1) of the securities Exchange Act and sec release. Question 5 Q: Must an institutional investment manager file form 13f even if it is not an sec-registered investment adviser because it does not meet the definition of investment adviser in Section 202(a 11) of the Investment Advisers Act? If the manager meets the requirements of Section 13(f) of the securities Exchange Act, it must file form 13F regardless of whether it is an sec-registered investment adviser. Banks, bank holding companies, and broker/dealers that exercise investment discretion over 100 million or more in Section 13(f) securities are required to file form 13f, even though they are excluded from the definition of investment adviser in Section 202(a 11) of the Investment Advisers Act. Broker-dealers (including those that do not manage advisory accounts, but that trade their own account and/or act as a market maker) are required to file. Broker-dealers are not exempt from filing Form task 13F. Question 6 Q: What is "investment discretion"?
A trustee is an institutional investment manager, but a natural person who exercises investment discretion over his or her own account is not an institutional investment manager. Question 3 a, q: Is a person who exercises investment discretion with respect to an account organized by or under the auspices of a governmental authority (. G., a municipal pension fund) an "institutional investment manager?". Such person meets the definition of an institutional investment manager because a "person" for purposes of Form 13F reporting is "a natural person, company, government, or political subdivision, agency, or instrumentality of a government.". See, section 3(a 9) of the securities Exchange Act (defining "person and, sec release. Such person must file form 13F if that person exercises investment discretion over 100 million or more in Section 13(f) securities. Question 4, q: Are foreign institutional investment managers required to file form 13F?
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Question 2, q: Who must file form 13F? A: Institutional investment managers that use the United States mail (or other means or instrumentality of interstate commerce) in the course of their business and that exercise investment discretion over 100 million or more in Section 13(f) securities must file form 13F. See, section 13(f 1) of the securities Exchange Act. Question 3, q: What is an "institutional investment manager"? A: see, wallpaper securities Exchange Act Section 3(a 9) and, section 13(f 6 A). An institutional investment manager is an entity that either invests in, or buys and sells, securities for sur its own account.
For example, banks, insurance companies, and broker/dealers are institutional investment managers. So are corporations and pension funds that manage their own investment portfolios. An institutional investment manager is also a natural person or an entity that exercises investment discretion over the account of any other natural person or entity. For example, an investment adviser that manages private accounts, mutual fund assets, or pension plan assets is an institutional investment manager. So is the trust department of a bank.
The Investment Management division is updating these faqs to reflect this transition and to make other clarifications. The Investment Management division has written these faqs to help money managers that are required to file form 13F. These faqs represent the staff's views. They are not a rule, regulation, or statement of the securities and Exchange commission. The commission has neither approved nor disapproved this information.
What Is Form 13F and Who files It? Question 1, q: What is Form 13F? A: Form 13F is the reporting form filed by institutional investment managers pursuant to section 13(f) of the securities Exchange Act of 1934. Congress passed Section 13(f) of the securities Exchange Act in 1975 in order to increase the public availability of information regarding the securities holdings of institutional investors. See, section 13(f) of the securities Exchange Act. Congress believed that this institutional disclosure program would increase investor confidence in the integrity of the United States securities markets.
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"2011 Annual Report" (PDF). a table b "2012 Annual Report" (PDF). "2013 Annual Report" (PDF). "2015 Annual Report" (PDF) (in Chinese). External links edit retrieved from " ". March 15, 2017, on may 20, 2013, the text-based ascii format for 13F filings was discontinued. . A filer now must either (1) use the online form available on the edgar filing Website and construct the Information Table according to the edgar xml technical Specification, or (2) construct the entire form 13F filing according to the edgar xml technical Specification. . For further background, please refer. Question 60 and, im information Update 2013-02.
10 footnotes edit a b c d no official English name was known, English translation was for indication only. not to be confused with taian taishan Investment ( Chinese : ; literally: "taian City taishan Investment references edit a b c "20" (in Chinese). Shandong Property rights Exchange center. Retrieved 10 February 2017. a b c National Credit Information Publicity system (in Chinese) a b c "A " like (PDF). The pacific Securities (in Chinese). Retrieved 9 February 2017. China fortune Investment Trust.
shareholder owned.16 as the. 2 The price was not disclosed, but the base price in the invitation to bid was CN140.14 million. 1 taishan huacheng Technology was.67 owned by another company ( Chinese : literally: "Jiexintai trading (Beijing nb 1 but the stake in taishan huacheng Technology also pledged to China fortune International Trust since may 2015. 2 China fortune Investment Trust had also set up a private equity fund (a trust) to receive the collateral, and the money raised (CN1.371 billion) would lend back to jiexintai. 5 The third shareholder ( Chinese : ; literally: "Weifang keyu technology nb 1 was based in weifang. Equity investments edit puhua investment owned.00 stake of the pacific Securities from 2007 3 to mid-2011. Puhua investment disinvested the pacific Securities.57 in 2011,.34 in 2012,.18 in 2013. puhua investment was out of 10 top shareholders of the pacific Securities (below the 10th for.95 It was ranked as the second largest shareholder in 2012, behind a consortium of 6 companies for.38 shares. 7 Puhua investment also owned.30 stake of taian Bank as the 9th largest shareholder (as at 31 December 2015). 9 Puhua investment was the 4th largest shareholder of New Times Securities for.5646 shares.
Tai'an taishan Investment Holding chinese : ). Nb 1 nb 2, in 2004 the company was the joint-largest shareholder of the. Pacific Securities for.56. 3, in June 2006 it was renamed into. 3, shareholders edit, as at 31 December 2015, puhua investment was majority owned. Potevio (39.04) and two other companies for.16 stake and.80 stake respectively. However, puhua investment was not appeared in the annual report of Potevio as long-term equity investment, while financial assets available for sale was a lump sum figure.
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From wikipedia, the free encyclopedia, jump to navigation, jump to search. Not to be confused with the bidder. China guangfa bank, yangpu puhua investment development. Puhua investment., Ltd. Is a chinese company based. As at 31 December 2015, state-owned enterprise, potevio owned.04 stake as the largest shareholder. 2, contents, history edit, puhua investment was founded in 2002.