This document is a proposal from Bell Potter Securities Limited for providing direct share services including full share trading capabilities, research from internal and UBS sources, model portfolios managed on a non-discretionary basis, statements of advice, and support for planners' businesses. Bell Potter would provide these services through a team of equity advisers and directors while maintaining the client relationship with the planner. Fees and commissions would be charged for trading and advice services.
Some Terminology related to Secondary Market
Meaning of SECONDARY MARKET
Types of Secondary Market
Features of Secondary market
Important Functions of Secondary Market
Products traded in the stock exchange/ Market Segment
Participants in the stock market
Top 10 Stock brokers- July 2020
Process of Trading
Advantages of Secondary Market
Disadvantages of Secondary Market
The document discusses various options for liquidity management in Islamic banks, including inter-bank mudarabah and musharakah pools, Islamic placement accounts, commodity murabaha transactions, equity funds, and sukuk bonds. It notes that liquidity management is a challenge for Islamic banks due to limitations like the absence of an Islamic interbank market and Shariah-compliant alternatives. It then provides details on setting up inter-bank investment pools, managing the pools, and using commodity murabaha and placement accounts to facilitate liquidity management.
Perception of customer towards mutual fundspraveen singh
The objective of the research was to find the factors preferred by the investors while investing in mutual funds & investors attitude towards investments.
The document discusses challenges that investors face with current investment options and introduces Spoke Funds as a better alternative. It summarizes key limitations of mutual funds, hedge funds, and ETFs in meeting investors' needs around alignment of interests, transparency, accessibility, and liquidity. The document then introduces Spoke Funds, noting their key advantage is that the portfolio manager invests their own money alongside investors'. It provides an overview of The Mosaic Portfolio, a long-term, business-owner approach to investing run by The Free Investors. The Free Investors aims to be accessible, transparent, invest for the long-term, have no conflicts of interest, be low cost, and independent.
Securities firm vs. Investment banks (Capital Market)Instagram
Investment banks assist individuals, corporations and governments in raising capital through underwriting and securities issuance. They also assist with mergers and acquisitions. The Volcker Rule requires separation of investment banking from commercial banking. There are two main types of investment banking: sell-side firms that facilitate securities trading, and buy-side firms that advise on purchasing investments. Brokers arrange securities transactions for a fee, dealers purchase securities to sell for profit, and broker-dealers act as both.
This document provides an overview of mutual funds in India. It defines mutual funds as a way for investors to pool their money together to invest in a portfolio managed by professionals. It describes the key entities involved like sponsors, trustees, asset management companies, custodians, and registrars. It also classifies mutual funds into open-ended, close-ended, index, income, tax-saving, and other categories. The advantages of mutual funds are discussed as increased diversification, professional management, and convenience, while the disadvantages include fees and less control.
This document provide the information about primary Market:
Like
What is primary market?
Methods of Floating new issue.
Functions of NIM(New Issue Market).
Disadvantages of Primary Market.
Advantages of Primary Market.
Parties involved in the new issue.
This document provides an introduction to investment banking. It discusses:
- The different divisions within an investment bank, including front office (investment banking, sales and trading, research), middle office (risk management, treasury), and back office (operations, technology).
- The roles within each division, such as investment bankers maintaining corporate relationships, traders buying and selling financial products, and research analysts reviewing companies.
- Risk management analyzing market and credit risk. The corporate treasury managing funding and liquidity. Operations ensuring trades are correctly processed.
- Technology creating internal software and providing technical support. Global transaction banking offering services like cash management and lending. Merchant banking working with startups.
Some Terminology related to Secondary Market
Meaning of SECONDARY MARKET
Types of Secondary Market
Features of Secondary market
Important Functions of Secondary Market
Products traded in the stock exchange/ Market Segment
Participants in the stock market
Top 10 Stock brokers- July 2020
Process of Trading
Advantages of Secondary Market
Disadvantages of Secondary Market
The document discusses various options for liquidity management in Islamic banks, including inter-bank mudarabah and musharakah pools, Islamic placement accounts, commodity murabaha transactions, equity funds, and sukuk bonds. It notes that liquidity management is a challenge for Islamic banks due to limitations like the absence of an Islamic interbank market and Shariah-compliant alternatives. It then provides details on setting up inter-bank investment pools, managing the pools, and using commodity murabaha and placement accounts to facilitate liquidity management.
Perception of customer towards mutual fundspraveen singh
The objective of the research was to find the factors preferred by the investors while investing in mutual funds & investors attitude towards investments.
The document discusses challenges that investors face with current investment options and introduces Spoke Funds as a better alternative. It summarizes key limitations of mutual funds, hedge funds, and ETFs in meeting investors' needs around alignment of interests, transparency, accessibility, and liquidity. The document then introduces Spoke Funds, noting their key advantage is that the portfolio manager invests their own money alongside investors'. It provides an overview of The Mosaic Portfolio, a long-term, business-owner approach to investing run by The Free Investors. The Free Investors aims to be accessible, transparent, invest for the long-term, have no conflicts of interest, be low cost, and independent.
Securities firm vs. Investment banks (Capital Market)Instagram
Investment banks assist individuals, corporations and governments in raising capital through underwriting and securities issuance. They also assist with mergers and acquisitions. The Volcker Rule requires separation of investment banking from commercial banking. There are two main types of investment banking: sell-side firms that facilitate securities trading, and buy-side firms that advise on purchasing investments. Brokers arrange securities transactions for a fee, dealers purchase securities to sell for profit, and broker-dealers act as both.
This document provides an overview of mutual funds in India. It defines mutual funds as a way for investors to pool their money together to invest in a portfolio managed by professionals. It describes the key entities involved like sponsors, trustees, asset management companies, custodians, and registrars. It also classifies mutual funds into open-ended, close-ended, index, income, tax-saving, and other categories. The advantages of mutual funds are discussed as increased diversification, professional management, and convenience, while the disadvantages include fees and less control.
This document provide the information about primary Market:
Like
What is primary market?
Methods of Floating new issue.
Functions of NIM(New Issue Market).
Disadvantages of Primary Market.
Advantages of Primary Market.
Parties involved in the new issue.
This document provides an introduction to investment banking. It discusses:
- The different divisions within an investment bank, including front office (investment banking, sales and trading, research), middle office (risk management, treasury), and back office (operations, technology).
- The roles within each division, such as investment bankers maintaining corporate relationships, traders buying and selling financial products, and research analysts reviewing companies.
- Risk management analyzing market and credit risk. The corporate treasury managing funding and liquidity. Operations ensuring trades are correctly processed.
- Technology creating internal software and providing technical support. Global transaction banking offering services like cash management and lending. Merchant banking working with startups.
The document provides definitions for various terms related to the stock market and investing. It defines terms like the All Share Price Index, Ask price, Automated Trading System, Beta, Bid price, Block Transactions, Book Building, Book Value, Capitalization of Reserves, Central Depository System, Closing Price, Colombo Stock Exchange, Companies Act, Compliance Officer, Convertible Debenture, Corporate Bond, Crossings, Debentures, Debt Securities Trading System, Dematerialization, Demutualization, Derivatives, Diversification, Dividend Per Share, Dividend Yield, Dividends, Earnings Per Share, Entity, Equity, and Ex-Capitalization Period
A study of online trading @ lkp securities ltd. project reportSachin Thomas
The document describes the research methodology used in a study of online trading at LKP Securities Ltd. It discusses both primary and secondary data collection methods used in the study. The objectives of the study are to understand the investment scenario in India and online trading, the tools and instruments used in trading, changes after shifting to online trading, and future developments in stock exchange trading systems. The scope, limitations, and structure of the study are also outlined.
Dr. Drago Indjic considers the maturation of hedge funds and funds of hedge funds (FoHF). FoHF now represent over one-third of total hedge fund assets and are the preferred vehicle for most institutional and retail investors to gain hedge fund exposure due to perceived safety. However, FoHF often fail to be designed and managed as proper investment portfolios, exhibiting biases in portfolio construction and strategy selection. Determining the best FoHF involves addressing numerous questions around strategy diversification, leverage, liquidity, and fees.
Bharti axa mutual fund application form equity with kimPrajna Capital
- The document is a Key Information Memorandum that provides details about three mutual fund schemes - Bharti AXA Equity Fund, Bharti AXA Tax Advantage Fund, and Bharti AXA Focused Infrastructure Fund.
- The Bharti AXA Equity Fund seeks to generate long-term capital appreciation through a diversified portfolio of predominantly equity and equity-related securities across all market capitalizations.
- It has an asset allocation range of 65-100% in equity and equity-related securities and 0-35% in debt and money market instruments. The minimum investment amount is Rs. 5,000.
The document discusses various topics related to the stock market including the financial system, primary and secondary markets, SEBI, types of investors and investments, trading, exchanges, and analysis techniques. It defines key terms and describes the roles of important entities like brokers, depositories, and exchanges.
This document provides definitions and concepts related to security analysis and portfolio management. It discusses key topics such as the nature of investments, investment objectives and constraints, investment classification, capital markets, and various investment avenues and instruments. References are also provided at the beginning for further reading on the subject matter.
A stock exchange is a market where securities like stocks and bonds are bought and sold. It provides liquidity and pricing for these securities. Stock exchanges are regulated and help allocate capital to companies while allowing investors to trade securities. They influence business activity and facilitate raising capital for companies and investment opportunities for investors. Various types of brokers intermediate trades on the exchange for a commission. Regulations govern trading and different types of securities, like specified growth stocks and non-specified issues, trade on the exchange.
IDFC Multi Cap Fund_Key information memorandumIDFCJUBI
The document provides a key information memorandum for the IDFC Multi Cap Fund, an open-ended equity scheme that invests across large cap, mid cap and small cap stocks. The fund aims to generate long-term capital growth from a predominantly equity and equity-related portfolio. It seeks to identify undervalued small and medium businesses with good long-term potential through fundamental research. The fund maintains a flexible asset allocation with a maximum of 100% in equities and 65% as minimum. It aims to remain fully invested for most periods and may hold cash during periods of overvaluation or lack of opportunities. The document outlines the investment strategy, risk profile and benchmark of the fund.
The document discusses various entry norms and methods for companies accessing the Indian capital markets, including:
- Entry Norms I, II, and III which specify eligibility criteria companies must meet to make an initial public offering.
- Private placement which involves direct sale of securities to select investors through merchant bankers.
- Preferential issues and qualified institutional placements which allow listed companies to issue shares or convertibles to select groups.
- Book building which is a process where the issuer company does not fix a price but investors bid within a price range to determine the final issue price.
Investor protection in India is governed by various laws rather than a single law. Several agencies are involved in regulating investor protection, including SEBI, RBI, and various government ministries and departments. Laws provide for compliance requirements for listed companies to protect investors such as appointing independent directors and audit committees, as well as grievance redressal mechanisms through various courts, tribunals, and ombudsmen. Regulators also conduct investor awareness campaigns to educate investors.
This document discusses bought out deals (BOD), where a company sells shares directly to sponsors or investors with an agreement to do an initial public offering later. In a BOD:
- A company sells shares to sponsors/investors at a negotiated price upfront in exchange for immediate funds.
- After a period of time, the sponsors offer the shares to the public at a premium to make a profit.
- BODs provide quick funding for companies and allow sponsors to potentially profit when shares are later listed on an exchange at higher prices. However, BODs also carry risks for sponsors if the company does not perform as expected.
Investment banks serve several important functions: (1) They act as advisors to companies on raising capital and provide financial analysis and advice on mergers and acquisitions. (2) They underwrite new stock and bond issues, ensuring the purchase and resale of securities at a fixed price. (3) They conduct research through financial analysts and sell reports to help managers make investment decisions.
This presentation is created for education purpose only. This presentation gives information about various aspects of stock broking services in India. Following are the various points covered regarding stock broking services:-
Types of broker, Nature of Work,Regulation for brokers , Eligibility Criteria for Membership, Admission Procedure for New Membership, Role & function of brokers, responsibility of broker, Worker ethics for broker ,Process of order execution ,Ways through broker earn money, Major brokerage firms in India.
This document summarizes recent developments in international antitrust law related to dawn raids. It discusses three recent court cases:
1) The ECJ ruled that the European Commission cannot engage in "fishing expeditions" during dawn raids and must limit its investigations to the scope specified in inspection decisions.
2) The ECJ confirmed the Commission has wide inspection powers as long as it is not "fishing", but must indicate the evidence and matters under investigation.
3) The GC upheld a large fine against two companies for obstructing a dawn raid by blocking email access and diverting emails.
The document also notes the ECHR has applied human rights law to national dawn raids and found violations in one case
This document is a 124-page report by the Chapter 11 Trustee of MF Global Holdings Ltd. summarizing the events leading up to MF Global's collapse in October 2011. It describes MF Global's transformation under new CEO Jon Corzine, including expanding into proprietary trading of European sovereign debt. It details Corzine's increasing of the company's risk limits for these trades, against the advice of some executives. The report also examines MF Global's regulatory issues, including a capital charge from FINRA that increased scrutiny of the company. In the final week, the report outlines the liquidity crisis and inability to find a buyer that led to MF Global declaring bankruptcy on October 31, 2011.
This document summarizes Oracle's education initiatives and resources for academic institutions. It discusses Oracle Academy programs that provide technology, curriculum, teacher training and support for computer science education. It outlines membership benefits and resources for high schools, technical schools, community colleges and universities. Examples are given of how project-based learning and Oracle Academy resources have been used successfully in different countries and contexts.
La comisión de propuestas de reforma del movimiento 15M en Bilbao tiene como objetivo recoger las propuestas de cambio surgidas en la acampada y agruparlas por temas. Han elaborado un árbol de contenidos con dos ejes principales: más democracia y justicia social. Recopilan propuestas concretas en ambos ámbitos y las están desarrollando para llevar a cabo acciones coordinadas. Animan a otros movimientos sociales a sumarse y aportar sus reivindicaciones.
J.C. notices her friend Jenny is absent from school and becomes worried when she doesn't answer her phone. During lunch, J.C. goes to Jenny's house and finds her dead body on the floor of her bedroom with an empty bottle of pills. The police find a suicide note where Jenny said she couldn't live anymore. Devastated by Jenny's death, J.C. becomes isolated and stops taking care of herself. Noticing J.C.'s depression, her mother buys her a guitar to help her feel better, as Jenny and J.C. had always talked about learning to play.
This document summarizes a two-day conference on regulatory disputes and investigations for financial institutions. The conference will provide networking and discussions on topics such as the FCA's new competition powers and enforcement priorities, benchmark investigations and potential claims resulting from breaches, the senior managers regime, and dealing with multiple regulators. It will feature presentations from regulators, banks, and legal experts. A practical working group will discuss satisfying regulators while protecting firms and staff. An optional master class will discuss strategies for recovering losses from defective financial products. The conference aims to help financial institutions navigate the evolving regulatory landscape and complex legal challenges regarding investigations and enforcement.
The US Senate voted that climate change is real, though not caused by humans. This was a strategic move by climate change denier James Inhofe to get the Keystone XL pipeline bill passed without specifying the cause of climate change. While most Republicans voted for the amendment, Inhofe continues to publicly oppose climate change funding and policies, showing the vote did not represent a real shift in views. The debate avoided addressing climate change with appropriate seriousness.
The document discusses interactivity and intersubjectivity in online course discourse. It aims to inspire passion for high-quality discourse, distinguish between interaction and intersubjectivity, and envision intersubjectivity as the next level of online learning quality. The author seeks to cover these topics and take questions from participants.
The document provides definitions for various terms related to the stock market and investing. It defines terms like the All Share Price Index, Ask price, Automated Trading System, Beta, Bid price, Block Transactions, Book Building, Book Value, Capitalization of Reserves, Central Depository System, Closing Price, Colombo Stock Exchange, Companies Act, Compliance Officer, Convertible Debenture, Corporate Bond, Crossings, Debentures, Debt Securities Trading System, Dematerialization, Demutualization, Derivatives, Diversification, Dividend Per Share, Dividend Yield, Dividends, Earnings Per Share, Entity, Equity, and Ex-Capitalization Period
A study of online trading @ lkp securities ltd. project reportSachin Thomas
The document describes the research methodology used in a study of online trading at LKP Securities Ltd. It discusses both primary and secondary data collection methods used in the study. The objectives of the study are to understand the investment scenario in India and online trading, the tools and instruments used in trading, changes after shifting to online trading, and future developments in stock exchange trading systems. The scope, limitations, and structure of the study are also outlined.
Dr. Drago Indjic considers the maturation of hedge funds and funds of hedge funds (FoHF). FoHF now represent over one-third of total hedge fund assets and are the preferred vehicle for most institutional and retail investors to gain hedge fund exposure due to perceived safety. However, FoHF often fail to be designed and managed as proper investment portfolios, exhibiting biases in portfolio construction and strategy selection. Determining the best FoHF involves addressing numerous questions around strategy diversification, leverage, liquidity, and fees.
Bharti axa mutual fund application form equity with kimPrajna Capital
- The document is a Key Information Memorandum that provides details about three mutual fund schemes - Bharti AXA Equity Fund, Bharti AXA Tax Advantage Fund, and Bharti AXA Focused Infrastructure Fund.
- The Bharti AXA Equity Fund seeks to generate long-term capital appreciation through a diversified portfolio of predominantly equity and equity-related securities across all market capitalizations.
- It has an asset allocation range of 65-100% in equity and equity-related securities and 0-35% in debt and money market instruments. The minimum investment amount is Rs. 5,000.
The document discusses various topics related to the stock market including the financial system, primary and secondary markets, SEBI, types of investors and investments, trading, exchanges, and analysis techniques. It defines key terms and describes the roles of important entities like brokers, depositories, and exchanges.
This document provides definitions and concepts related to security analysis and portfolio management. It discusses key topics such as the nature of investments, investment objectives and constraints, investment classification, capital markets, and various investment avenues and instruments. References are also provided at the beginning for further reading on the subject matter.
A stock exchange is a market where securities like stocks and bonds are bought and sold. It provides liquidity and pricing for these securities. Stock exchanges are regulated and help allocate capital to companies while allowing investors to trade securities. They influence business activity and facilitate raising capital for companies and investment opportunities for investors. Various types of brokers intermediate trades on the exchange for a commission. Regulations govern trading and different types of securities, like specified growth stocks and non-specified issues, trade on the exchange.
IDFC Multi Cap Fund_Key information memorandumIDFCJUBI
The document provides a key information memorandum for the IDFC Multi Cap Fund, an open-ended equity scheme that invests across large cap, mid cap and small cap stocks. The fund aims to generate long-term capital growth from a predominantly equity and equity-related portfolio. It seeks to identify undervalued small and medium businesses with good long-term potential through fundamental research. The fund maintains a flexible asset allocation with a maximum of 100% in equities and 65% as minimum. It aims to remain fully invested for most periods and may hold cash during periods of overvaluation or lack of opportunities. The document outlines the investment strategy, risk profile and benchmark of the fund.
The document discusses various entry norms and methods for companies accessing the Indian capital markets, including:
- Entry Norms I, II, and III which specify eligibility criteria companies must meet to make an initial public offering.
- Private placement which involves direct sale of securities to select investors through merchant bankers.
- Preferential issues and qualified institutional placements which allow listed companies to issue shares or convertibles to select groups.
- Book building which is a process where the issuer company does not fix a price but investors bid within a price range to determine the final issue price.
Investor protection in India is governed by various laws rather than a single law. Several agencies are involved in regulating investor protection, including SEBI, RBI, and various government ministries and departments. Laws provide for compliance requirements for listed companies to protect investors such as appointing independent directors and audit committees, as well as grievance redressal mechanisms through various courts, tribunals, and ombudsmen. Regulators also conduct investor awareness campaigns to educate investors.
This document discusses bought out deals (BOD), where a company sells shares directly to sponsors or investors with an agreement to do an initial public offering later. In a BOD:
- A company sells shares to sponsors/investors at a negotiated price upfront in exchange for immediate funds.
- After a period of time, the sponsors offer the shares to the public at a premium to make a profit.
- BODs provide quick funding for companies and allow sponsors to potentially profit when shares are later listed on an exchange at higher prices. However, BODs also carry risks for sponsors if the company does not perform as expected.
Investment banks serve several important functions: (1) They act as advisors to companies on raising capital and provide financial analysis and advice on mergers and acquisitions. (2) They underwrite new stock and bond issues, ensuring the purchase and resale of securities at a fixed price. (3) They conduct research through financial analysts and sell reports to help managers make investment decisions.
This presentation is created for education purpose only. This presentation gives information about various aspects of stock broking services in India. Following are the various points covered regarding stock broking services:-
Types of broker, Nature of Work,Regulation for brokers , Eligibility Criteria for Membership, Admission Procedure for New Membership, Role & function of brokers, responsibility of broker, Worker ethics for broker ,Process of order execution ,Ways through broker earn money, Major brokerage firms in India.
This document summarizes recent developments in international antitrust law related to dawn raids. It discusses three recent court cases:
1) The ECJ ruled that the European Commission cannot engage in "fishing expeditions" during dawn raids and must limit its investigations to the scope specified in inspection decisions.
2) The ECJ confirmed the Commission has wide inspection powers as long as it is not "fishing", but must indicate the evidence and matters under investigation.
3) The GC upheld a large fine against two companies for obstructing a dawn raid by blocking email access and diverting emails.
The document also notes the ECHR has applied human rights law to national dawn raids and found violations in one case
This document is a 124-page report by the Chapter 11 Trustee of MF Global Holdings Ltd. summarizing the events leading up to MF Global's collapse in October 2011. It describes MF Global's transformation under new CEO Jon Corzine, including expanding into proprietary trading of European sovereign debt. It details Corzine's increasing of the company's risk limits for these trades, against the advice of some executives. The report also examines MF Global's regulatory issues, including a capital charge from FINRA that increased scrutiny of the company. In the final week, the report outlines the liquidity crisis and inability to find a buyer that led to MF Global declaring bankruptcy on October 31, 2011.
This document summarizes Oracle's education initiatives and resources for academic institutions. It discusses Oracle Academy programs that provide technology, curriculum, teacher training and support for computer science education. It outlines membership benefits and resources for high schools, technical schools, community colleges and universities. Examples are given of how project-based learning and Oracle Academy resources have been used successfully in different countries and contexts.
La comisión de propuestas de reforma del movimiento 15M en Bilbao tiene como objetivo recoger las propuestas de cambio surgidas en la acampada y agruparlas por temas. Han elaborado un árbol de contenidos con dos ejes principales: más democracia y justicia social. Recopilan propuestas concretas en ambos ámbitos y las están desarrollando para llevar a cabo acciones coordinadas. Animan a otros movimientos sociales a sumarse y aportar sus reivindicaciones.
J.C. notices her friend Jenny is absent from school and becomes worried when she doesn't answer her phone. During lunch, J.C. goes to Jenny's house and finds her dead body on the floor of her bedroom with an empty bottle of pills. The police find a suicide note where Jenny said she couldn't live anymore. Devastated by Jenny's death, J.C. becomes isolated and stops taking care of herself. Noticing J.C.'s depression, her mother buys her a guitar to help her feel better, as Jenny and J.C. had always talked about learning to play.
This document summarizes a two-day conference on regulatory disputes and investigations for financial institutions. The conference will provide networking and discussions on topics such as the FCA's new competition powers and enforcement priorities, benchmark investigations and potential claims resulting from breaches, the senior managers regime, and dealing with multiple regulators. It will feature presentations from regulators, banks, and legal experts. A practical working group will discuss satisfying regulators while protecting firms and staff. An optional master class will discuss strategies for recovering losses from defective financial products. The conference aims to help financial institutions navigate the evolving regulatory landscape and complex legal challenges regarding investigations and enforcement.
The US Senate voted that climate change is real, though not caused by humans. This was a strategic move by climate change denier James Inhofe to get the Keystone XL pipeline bill passed without specifying the cause of climate change. While most Republicans voted for the amendment, Inhofe continues to publicly oppose climate change funding and policies, showing the vote did not represent a real shift in views. The debate avoided addressing climate change with appropriate seriousness.
The document discusses interactivity and intersubjectivity in online course discourse. It aims to inspire passion for high-quality discourse, distinguish between interaction and intersubjectivity, and envision intersubjectivity as the next level of online learning quality. The author seeks to cover these topics and take questions from participants.
The document summarizes the state of the global aluminum market in 2001-2002. It notes that demand for aluminum dropped 4% in 2001 due to slowing world economies. Excess production capacity drove prices lower, hurting aluminum producers. The US and Japan saw the largest declines in consumption. While China's production rose 19% in 2001, overall global supply declined 1.4 million tons due to production cuts. Russian aluminum producers fared relatively better with only a 1-2% drop in production, but still faced higher costs than Western competitors. The outlook for 2002 was uncertain with prices beginning to recover in late 2001.
1. The document discusses Oracle's Cloud Architecture Framework, principles, and best practices. It provides an agenda that includes background information and discussing the Cloud Architecture Framework.
2. Key aspects of cloud computing are defined, including essential characteristics, service models, and deployment models. Standards from NIST and DMTF relating to cloud computing are also referenced.
3. The presentation aims to outline Oracle's general approach to enterprise technology strategy for cloud, focusing on provisioning PaaS on IaaS for the enterprise cloud. It highlights relevant industry standards and collateral.
BMO Capital Markets 25th Annual Global Metals & Mining ConferenceTeckResourcesLtd
This document contains forward-looking statements about Teck Resources regarding its long-life assets, estimated profit, EBITDA, expectations for commodity markets, goals to maintain core business cash flow neutral, expected cash balance at year-end, and capital expenditure guidance. It notes the risks and uncertainties inherent in forward-looking statements around commodities, exchange rates, costs, and other factors.
Robert Baird Growth Stock Conference Presentationsfinance2
Jeff Campbell, Executive Vice President and CFO of McKesson Corporation, presented at the Robert W. Baird Conference on May 10, 2006. The presentation provided an overview of McKesson, including its financial performance over the past six years, market positioning, and growth opportunities. McKesson's revenues have grown from $36.7 billion in FY00 to $88.1 billion in FY06, and diluted EPS has increased from $0.65 to $2.44 over the same period. The presentation also reviewed McKesson's segments and their financial results, guidance for FY07 EPS, and positioning in key healthcare areas.
This document provides an overview of Michael Covel's philosophy on trend following investing. It discusses how trend following works by reacting to markets rather than trying to predict them. It avoids emotions and incorrect forecasts by following precise rules to enter and exit positions. Trend following aims to profit in both bull and bear markets by following trends to their conclusion, regardless of why the trends occur. It also benefits from risk management techniques, diversification across multiple markets, and avoiding behavioral biases by relying only on price data and predefined rules.
This document provides an annual review and quarterly investment monitor of cleantech for 2008. It discusses key findings such as the decline in investments in the 4th quarter of 2008 compared to previous quarters that year, as well as results by geography, round size, top venture investors, and specific cleantech sectors such as solar, biofuels, transportation, wind, and green buildings. It also covers investment trends in Europe, China, India, mergers and acquisitions, and initial public offerings. The foreword discusses how established utilities are becoming more involved in cleantech investing and testing of new technologies during the economic downturn.
Bassel Mahmoud Shoirah has over 15 years of experience in real estate development, public-private partnerships, and utilities management in Egypt. He is currently the Deputy General Manager of Polaris International Parks, where he oversees departments and represents the group locally and internationally. Previously he was the General Manager of the Utilities & Transport Sector at Egypt's Public Private Partnership Central Unit, where he managed numerous multi-billion dollar PPP projects. He holds a civil engineering degree from Cairo University and a law degree.
Nifty 50: The Best Users of Capital in Bankingmikamoser
The document discusses Bank Director magazine's "Nifty 50" list of the top 50 banks that deliver high returns on capital despite high capital levels. Republic Bancorp Inc. was ranked first, focusing on non-traditional, higher return products like tax return processing. First Financial Bankshares Inc. was second, maintaining high capital levels. National Bankshares Inc. was third for operating in smaller, urban markets with better business conditions.
This document provides an overview of Imtech, a European technical services provider in electrical engineering, ICT, and mechanical engineering. Some key points:
- Imtech has over 23,000 employees and 4.3 billion euro in revenue in 2009, operating in multiple European countries and global marine markets.
- It offers multidisciplinary technical solutions across various industries like buildings, transportation, energy, and marine.
- Imtech's strategy is to grow further in Europe through strong market positions and acquisitions, while increasing its focus on added value services and green/sustainable technology solutions for customers. The goal is to reach 8 billion euro in revenue by 2015.
This document provides a biography and background on Riccardo Ronco, who is the head of technical analysis at Aviate Global in London. It discusses his experience in trading, quantitative analysis, and teaching technical analysis over 15 years. It also summarizes his approach to trend following across large and mid-cap European and US equities, paying attention to indices, currencies, commodities, and interest rates. Finally, it provides a brief bibliography of relevant books and materials on trend following strategies.
- ITG has achieved international growth, with Europe and Asia Pacific setting new revenue records in Q1 2015 and international operations now comprising 46% of revenues and almost 72% of pre-tax income.
- ITG has a robust balance sheet with $206M in cash/equivalents and only $15M in long-term debt as well as an active share buyback program.
- ITG offers a range of trading, analytics and research products globally, including its leading dark pool POSIT, algorithms, smart routing, and TCA tools, and sees opportunities to expand in new asset classes and markets internationally.
This document provides information about Roux Capital, a Paris-based advisor focused on private equity primary and secondary assignments in Europe. It summarizes Roux Capital's services in primary fund placements, secondary transactions, and the experience of its founder François Roux in private equity and mergers and acquisitions.
Hunter Hammond Daniel Associates is an independent financial advisory firm that provides investment and pension advice. They have introduced a new core investment proposition that involves outsourcing fund selection and portfolio management to expert organizations like Ibbotson Associates and Old Broad Street Research. Their proposition involves a 6 step process: 1) Meeting with clients, 2) Risk assessment, 3) Asset allocation, 4) Portfolio construction, 5) Use of a wrap platform, and 6) Regular reviews and rebalancing. They offer three client service packages depending on portfolio size that provide varying levels of support and reviews.
Conner Management Group is an investment management firm that uses proprietary algorithms to implement value and momentum investing strategies. It manages separately managed accounts for individuals and institutions. The firm's strategies include an equity income strategy, value strategy, value and momentum strategy, and option portfolio strategy. Conner Management focuses on concentrated portfolios of 10-20 stocks and aims to outperform benchmarks like the S&P 500 with its approach of combining fundamental value analysis with quantitative momentum signals. It provides quarterly performance updates to clients to communicate the drivers of returns in easy to understand terms.
How Investment Analysis & Portfolio Management greatly focuses on portfolio c...QUESTJOURNAL
Abstract: Portfolio Construction is a capstone elective that draws on previously studied investment principles, theories and techniques. Its enable synthesize that acquired financial theories and knowledge in the context of portfolio construction and asset allocation. It focuses on gaps in theory and how they can be managed in practice.
Study on Mutual Fund is the Better Investment PlanProjects Kart
Mutual funds have become a hot favorite of millions of people all over the world. The driving force of mutual fund is the ‘safety of the principal’ guaranteed, plus the added advantage of capital appreciation together with the income earned in the form of interest or dividend. People prefer Mutual Funds to bank deposits, life insurance and even bond because with a little money, they can get into the investment game. One can own string blue chips like ITC, TISCO, Reliance etc., through mutual funds. Thus, mutual funds act as a gateway to enter into big companies hitherto inaccessible to an ordinary investor with his small investment.
This document provides an overview of Gibraltar Asset Management Limited (GAM), including its history, regulation, memberships, independence, organization, security of client assets, client reporting, and services. GAM offers execution-only, advisory, and discretionary investment management services. For discretionary clients, GAM constructs model portfolios using equities, special situations, commodities, and fixed interest securities. Equities are selected based on factors like low debt, earnings visibility, dividends, value, and simplicity. Special situations seeks short-term anomalies, and commodities provide diversification benefits.
48407540 project-report-on-portfolio-management-mgt-727 (1)Ritesh Kumar Patro
This document provides an overview of portfolio management. It discusses key concepts like portfolio construction, types of assets, and the portfolio management process. The main points are:
1) Portfolio construction involves setting objectives, defining a policy, applying a strategy, selecting assets, and assessing performance. The main asset classes are cash, bonds, equities, derivatives, and property.
2) Portfolio management deals with security analysis, portfolio analysis, selection, revision, and evaluation. The goal is to maximize returns for a given level of risk through diversification.
3) Derivatives like futures and options derive their value from underlying assets and allow investors to take long or short positions to profit from price movements.
48407540 project-report-on-portfolio-management-mgt-727 (1)Ritesh Patro
This document provides an overview of portfolio management. It begins with an introduction that defines portfolio management and discusses its key aspects like security analysis, portfolio construction, selection, and evaluation. It then discusses the steps in portfolio construction, including setting objectives, defining an investment policy, and applying a portfolio strategy. The next sections cover topics like types of assets, phases of portfolio management, and security and portfolio analysis. It concludes with a discussion of portfolio selection, revision, and evaluation. The overall summary emphasizes that portfolio management aims to maximize returns for a given risk level through diversification and balancing different asset classes.
B-Crown Advisors is an independent structured and corporate financial advisory firm founded by the former Royal Park Investments team. They provide advisory services in alternative finance, portfolio advisory, and debt restructuring. Their services include alternative funding sourcing, debt securitization, balance sheet management, portfolio monitoring and valuation, and litigation support. They aim to provide objective, independent, and tailored advice to their clients.
Gibraltar Asset Management Limited (GAM) is an independent asset management firm regulated by the Financial Services Commission and a member of the London Stock Exchange. GAM offers execution-only, advisory, and discretionary portfolio management services. For discretionary clients, GAM's Investment Committee builds model portfolios based on asset allocation across equities, fixed income, and other asset classes tailored to clients' risk tolerance and time horizon. Client assets are held with a third-party custodian and GAM provides regular reporting including online access, statements, and notifications of corporate actions.
Futures in Finance 18 10 14 Equity Research sessionIntellisysUK
This document provides an overview of equity research. It discusses how the equity research marketplace has changed in recent years, with sell-side research budgets declining. It also outlines the role of equity research, different types of analysts, common valuation methods, and the technique of "fusion analysis" which combines fundamental, technical, and behavioral analysis. Finally, it considers the skills needed to be a successful equity analyst.
Bell Potter Securities is a leading Australian stockbroking, investment and financial advisory firm founded in 1970. It provides a comprehensive range of financial services to individual, institutional, corporate and not-for-profit clients. Bell Potter has grown to over 600 staff operating across 13 offices in Australia as well as offices in London and Hong Kong. The document introduces Bell Potter's services including technical financial advice, superannuation, portfolio lending, portfolio administration, domestic and international equities research, fixed income products, IPOs and corporate opportunities. It emphasizes Bell Potter's long-term client relationships built on tailored advice and regular communication.
Investment banks in Malaysia provide various services including corporate financial advisory, portfolio management, corporate banking, and share trading. They were introduced in 2005 to strengthen the financial sector by consolidating merchant banks, stockbroking companies, and universal brokers into a new investment bank framework. Investment banks play important roles in developing the capital market by raising capital, facilitating mergers and acquisitions, managing investments, and providing other financial services. They offer a wider scope of activities and larger facilities than commercial banks.
HBJ Capital provides wealth management services through independent equity research and customized portfolios. It focuses on identifying small and mid-cap stocks that can deliver high returns. HBJ's strengths include experienced research analysts across India and an ability to identify companies outside large institutions' focus. It offers various services like model portfolios and a professionally managed fund, tailored based on clients' goals, risk appetite, and financial situation. The aim is to beat market returns long-term by taking a proactive approach through direct management contact and focus on sustainable businesses.
1. The document outlines Peter Gallagher's corporate access business plan to capitalize on change. It discusses developing highly conviction research ideas, leveraging research into corporate access opportunities around changes like upgrades, and maximizing information flow between analysts, sales, trading and investors.
2. The plan highlights Gallagher's relevant experience in research, sales, and trading and his success in originating branded CEO dinner series and non-deal roadshows that established relationships and drove revenues.
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Mutual funds pool money from investors and invest it in a variety of securities like stocks, bonds, and money market instruments. The key advantages of mutual funds are diversification, professional management, liquidity, and affordability. Mutual funds charge various fees that can reduce returns over time. While diversification reduces risk, mutual funds are still subject to market volatility. Common types of mutual funds include equity funds, money market funds, hybrid/balanced funds, and debt funds.
Internship Report on Mutual funds(small)Dheeraj Reddy
Mutual funds pool money from investors and invest it in a variety of securities like stocks, bonds and money market instruments. The document discusses the concept of mutual funds and their advantages like portfolio diversification, professional management, reduced risks and transaction costs, liquidity and tax benefits. It also notes some disadvantages like lack of control over costs, no tailor-made portfolios and the possibility of poor performance by fund managers. Finally, it outlines the different types of mutual fund schemes in India including open-ended schemes that allow investors to buy and sell units at any time, and close-ended schemes that have a fixed maturity period.
Hintons offers discretionary fund management services to assist independent financial advisors in selecting investment solutions for their clients. Hintons constructs portfolios using a blend of asset classes and expert fund managers. It uses a risk profiling process to determine the appropriate asset allocation for each client based on their individual needs and risk tolerance. Hintons then selects funds across equities, fixed income, property, alternative investments, and cash to build customized and diversified portfolios for clients. It actively monitors the portfolios and funds to ensure they continue meeting the goals for each client.
Gibraltar Asset Management provides various investment services including execution-only trading, advisory services, and discretionary portfolio management. For discretionary clients, GAM constructs model portfolios allocated across equities, fixed income, commodities, and other assets based on the client's risk profile and objectives. Equity holdings are selected from defensive, cyclical, and thematic categories. Special situations and options/CFDs may also be utilized depending on a client's risk tolerance. Assets are held with an external custodian for security. Regular reporting includes statements, corporate action notifications, and periodic valuations. Fees are based on a transparent pricing structure.
This document provides an overview of mutual funds in India. It discusses what mutual funds are, their advantages such as professional management, diversification and liquidity. It also discusses disadvantages like costs and lack of control. Finally, it outlines the different types of mutual fund schemes in India such as open-ended and close-ended funds. Open-ended funds allow buying and selling at net asset value anytime, while close-ended funds have a fixed maturity period of 3-15 years.
Similar to Bell Potter-To Whom It May Concern (20)
1. To whom it may concern
Proposal for the provision of direct share services
Bell Potter Securities Limited
January 2010
1
2. Table of Contents
1. Key Features
2. Bell Financial Group Structure / Bell Potter Securities Profile
3. About Us
4. Our Services
5. Research
6. Portfolio Review Service
7. Model Portfolios
8. Statements of Advice / Additional Advice
9. Corporate Activity and Syndication Capability
10. Client Presentations
11. Fees and Commissions
12. Internet Access
13. Credentials and Contact Details
2
3. Key Features
1. Full service share trading capability – and Execution, Clearing and
Settlement services
2. Research - Quality rated equity research, both Bell Potter’s internal
research and the Bell Potter badged UBS research
3. Model Portfolios – Individually Managed Accounts (IMAs) on a non-
discretionary basis using a model portfolio approach to investing
4. Statements of Advice / Additional Advice - Issue of SoAs and SoAAs
for the provision of Personal Financial Advice as required
5. Account Servicing - Support to planners in developing their business
6. Channel Management - Client relationship remains with the planner
7. Agreement - Covered by an intermediary agreement
3
4. Bell Financial Group
Structure
Bell Group Holdings: 49.0% ASX Listed: BFG
UBS AG, Australia: 17.4%
100% 100% 100% 36%
I Equities I Cash I Institutional I Online broking
I Futures and FX I Margin Lending equities I Equities - retail
I Equity Capital and wholesale
Markets
I Commodities
4
5. Bell Potter Securities
Profile
I Part of the ASX listed Bell Financial Group of companies
I Australian owned, full service private client stockbroking and financial
advisory firm
I Backed by leading Investment Banking and Research resources
I Services include: equities, equity capital markets, foreign exchange,
futures, commodities, margin lending, cash and superannuation
I One of Australia’s largest retail stockbroking businesses
— 12 offices nationally
— 300 advisers servicing over 200,000 clients
I Full service offering including research on 270 companies through 70
analysts
5
6. About Us
The Team
Planners will be serviced by the following Bell Potter team:
Intermediary Services
– Hamish Church, Equities Adviser
– Mike Williams, Equities Adviser
– Atika Brown, Equities Adviser
– David Lyons, Equities Adviser
– Gary Aitkenhead, Equities Adviser
– Sam Byrnes, Desk Assistant
– Colin Davidson, Director, Product and Marketing
6
7. Our Services
Overview
I Highly rated research, specifically designed for private clients
I Model portfolio investment approach
I Portfolio Review service
I Provision of Statements of Advice
I BPS’s Monthly Investor Newsletter
I BPIS (Bell Potter Intermediary Service) Tailored Monthly Newsletter
I User-friendly website, accessible to Intermediaries
I Access to IPO’s and placements
I Staff available to present at seminars / conferences / PD days
I Commission rebates, where applicable
7
8. Research
Clients seeking general information, company research and
comparison tables are serviced through:
I Daily Communiqué
I Monthly and Quarterly Investor Reports
I Specific company research – choice of institutional style notes or concise
company profiles (2 pages)
I BPS Monthly Investor Report
I Updates/ comment on strategy or stocks of interest (emails
predominantly)
I Hybrid and fixed interest commentary
8
9. Research
I Our in-depth research can add value to the
performance of a client’s portfolio.
I Access to the expertise and resources of our
in-house research team, covering Australia’s
top ASX listed companies through BPS’s
distribution agreement with UBS, as well as
an array of smaller mid-cap and emerging
companies.
I Access to comprehensive economic and
market commentaries.
I Our research network delivers quality
analysis, general advice and a wide range of
printed and online communications
9
10. Portfolio Review Service
I Provided for professional, prompt reviews of clients’ existing portfolios or
for new portfolio proposals.
I No fee is charged for this service, however there is an expectation that
where recommendations are implemented, the transactions will be
executed through BPS
I We reserve the right, subject to due notice, to invoice a service charge of
not less than $200 per review (up to 20 stocks, $10 per extra stock) should
this not occur
I All stocks recommended are researched by Bell Potter and summaries are
available on Bell Potter’s website
I Our commitment is to produce Portfolio Reviews within 48 hours of the
time of request
10
11. Model Portfolios
We use a model portfolio approach when advising planners on their clients’
direct share portfolios.
Portfolios can be either:
Tailored to suit the client’s requirements; or
The Model Growth Portfolio which is used to construct the portfolio,
subject to the client’s investment profile.
Client accounts are operated as Individually Managed Accounts (IMA) on a
non-discretionary basis when using model portfolios.
NOTE: The BP model growth portfolio performance can only be replicated if a client’s portfolio is in all
respects an accurate reflection of the model growth portfolio, including changes made by the fund manager,
stock weightings, acquisition and sale quantities and prices and any other activity on the portfolio
undertaken by the manager whilst managing the underlying investments.
11
12. Model Portfolios
Concentrated Portfolios
The model portfolios we use have a fewer number of stocks, typically
13 parcels, compared to a traditional long only managed fund which
may have up to 50 or more.
The rationale for the concise number of stocks in model portfolios is
as follows:
Sufficient stocks to control stock-specific risk. Therefore, one poor
investment does not ruin the performance of the portfolio for years after
Most of the stocks are blue-chip/ ASX100 Index names. However,
because of the limited number of stocks, they have large weightings
compared to their index weightings
Hence, the portfolios have the ability to outperform the benchmark
index and managed funds (despite the apparent commonality in
stocks), without venturing into higher risk, small or speculative stocks
12
13. Model Portfolios
Advantages
Other advantages compared to managed funds include:
I Clients are buying into pre-existing CGT situations
I Stock holdings remain in the name of the client
I Modest turnover of around 20-25%p.a.
I Avoidance of unattractive stocks that may be in many managed funds
because many fund managers “hug” market indices, meaning they tend
to have holdings to some degree or other in most large stocks
I Above-average yield for the Growth Portfolio due to a value bias built in
to the portfolio
I Ability to incorporate tax considerations into buy/ sell activity
13
14. Model Portfolios
Changes
Portfolio Changes
1. Although BPIS Model Growth Portfolio reflects a long term investment
horizon, changes occasionally occur due to factors such as:
• stock price movements,
• changes in our fundamental views, or
• corporate events such as mergers/ takeovers or de-mergers
Turnover of the portfolio is approximately 20-25%p.a.
2. A Model portfolio overcomes the inadequate “set and forget” approach to
managing investments or the formal review based on time periods (such
as quarterly, half yearly). The latter can lead to missed opportunities or an
unnecessarily delayed response to unfavourable developments
3. Planners are advised of the changes via phone and email on a timely
basis along with detailed commentary on the changes made.
4. Depending on the service selected, planners and clients can then decide if
they wish to replicate the change with their respective portfolio(s)
14
15. Model Growth Portfolio
Investment Approach
1. Universe of Stocks
Stock selection predominantly focuses on the Top 100 Companies by
market capitalisation on the Australian Securities Exchange.
2. Company Valuation
Assessment of key business qualities, including confidence in management,
competitive strength with high market share high barriers to new
competition, lower risk of company failure and high forecast growth.
3. Stock Selection
Determined by active monitoring and assessment of the key business
qualities outlined above.
4. Model Growth Portfolio
13 stocks are held. Performance is measured on a total return basis relative
to the All Ords Accumulation Index and reported monthly.
15
16. Model Portfolios
We use two Model Portfolios to assist in advising clients on their
direct share portfolios, plus a preferred stock list (2nd Tier) of
companies too small/ speculative for the above or which can’t be
included because they would result in an overweighting in a sector.
Both Portfolios are structured and managed by Mike Williams
The Model Portfolios represent our preferred stocks at any time
in two categories:
I Growth
I Income
The first two portfolios contain 13 stocks each and the Second Tier
has a variable number
16
17. Model Portfolios
The rationale for the concise number of stocks in the Growth
& Income portfolios is:
Sufficient stocks to control stock-specific risk. Therefore, one poor
investment does not ruin the performance of the portfolio for years
after
All of the stocks are blue-chip/ ASX100 Index names. However,
because of the limited number of stocks, they have large
weightings compared to their index weightings
Hence, the portfolios have the ability to outperform the benchmark
index and many managed funds (despite the apparent
commonality in stocks), without venturing into higher risk, small or
speculative stocks
17
18. Model Growth Portfolio
This is run as a “live” portfolio. That is, purchases/ sales are inputted
as if they occurred and performance is calculated monthly (including
the collection & reinvestment of notional dividends).
The BPIS Growth Portfolio was created in May 2006 and therefore
now has 41 months history.
Performance - 41 months to 30 Sept 2009
BPIS Model Growth P’folio +26.1%
ASX 200 Accum. Index +5.2%
18
19. Model Growth Portfolio
Additionally, in his previous stockbroking role, Mike Williams created
and managed the “Ord Minnett Model Growth Portfolio”. In the 82
months from its inception (August 1999), the Portfolio achieved the
following return:
Performance - 82 months to 30 April 2006
OM Model Growth P’folio +227.9%
ASX 200 Accum. Index +137.2%
Combined, the Model Growth Portfolios have outperformed the ASX
200 Accumulation Index by 5.5% pa (compound annual growth rate)
over the 10.25 years to 30 September 2009.
19
21. Model Growth Portfolio
Stock Selection:
I Buy (or at worst neutral) recommendation by analyst
I Earnings growth allied to favourable PEG ratios (PE relative to
earnings growth)
I Favourable industry structure or dominant position in industry
I Favourable external environment
I Competent operational & financial management
I Appropriate balance sheet
I Scope for dividend growth or higher dividend payout ratios
21
23. Statements of Advice (SoA)
Service Levels
Service Level SoA
Issued
Execution, Clearing and Settlement (ECS)
In relation to transactions in Financial Products listed on the No
ASX or an exchange recognised by the ASX.
No advice provided
General Advice
Which does not take account of any person’s financial situation, No
particular needs or investment objectives
Personal Financial Product Advice
Only provided when Bell Potter has been given the opportunity Yes
to take account of the recipient’s personal financial situation,
particular needs and investment objectives
23
24. Corporate & Syndication Capability
I Bell Potter’s strong retail distribution network gives us access to some of the
best domestic and international public equity and other securities issues
I In addition to priority access to issues sourced from UBS, Bell Potter has
strong relationships with all the major investment banks
Bendigo & Adelaide Bank Westpac Banking Corporation National Australia Bank Ltd GPT Group Suncorp-Metway CPS
$50m Placement $2.5 billion Placement $3.0 billion Placement $2,217 million Entitlement Offer $766 million IPO
Co- Manager Participant Participant Participant Participant
December 2008 December 2008 November 2008 October 2008 May 2008
AMP Limited WestpacStapled Preferred Security Wesfarmers Limited St George Bank Limited
$450.0 million Placement $1.03 billion Placement $1.6 billion Entitlement Issue $400 million CPS II Hybrid
Participant Co-Manager Co-Manager
Participant
November 2008 May 2008 November 2007
July 2008
24
25. Planner Support
“PQ Seminars”
Bell Potter’s Director of Research, Peter Quinton, is available for major client
presentations – for instance, his twice-yearly “PQ Seminars” are very popular
and well received
Peter also produces significant slide show material that is available to the BPIS
team. In addition, Bell Potter has a dedicated Marketing department for all
presentations
Planner Support
Together with our research base, BPIS can conduct investor seminars with a
range of subjects and educational themes. This includes providing speakers,
including advisers from the BPIS team, who can present to planners in a
jargon-free, user friendly style.
Many planners have found these seminars important in building and
maintaining their client base.
25
26. Fees and Commission
Financial Planners have the ability to create a revenue
stream from conducting both execution-only and advice
business
Bell Potter will charge brokerage at the agreed brokerage
on a commission share basis
However, the planner can charge an additional rate of
brokerage (either a dollar amount or percentage) which will
be rebated back to the dealer group at the end of the
month
26
27. Internet Access
Facility to tailor our internet
service to meet BT planners
needs
Online research, watchlists,
charts, ASX announcements,
live prices and market indices
Planners can access all their
clients from a single login
Portfolio valuations, client ledger
and cash account statements
27
28. Our Credentials
Hamish Church – Equities Adviser
Hamish has been a private client, institutional and intermediary adviser with Bell
Potter Securities Ltd for close to 4 years. With just under 10 years experience in
financial services, Hamish was formally an Adviser with Leyland Private Asset
Management Pty Ltd, where he specialised in building and advising the IMA
(Individual Managed Account) business. Prior to this, he has held roles with Citigroup
(Dublin), Equity Growth Management (Corporate Advisory) and Wealth Strategies
Pty Ltd (Financial Planning).
Hamish holds a Bachelor of Business and a Diploma of Financial Planning and is an
active member of the Securities and Derivatives Industry Association (SDIA). As an
accredited securities dealer, Hamish provides advice on Australian and international
equities, listed and unlisted managed funds and fixed interest products,
superannuation and retirement savings, Government bonds and
debentures. Hamish is also Level 2 Options accredited.
Hamish works closely with financial planners and accountants to advise clients in all
aspects of equity investments, specialising in portfolio construction and
management.
28
29. Our Credentials cont…)
Mike Williams – Portfolio Manager
Mike established Bell Potter Intermediary Services in May, 2006. Prior to this, Mike
established Ord Minnett’s Intermediary Services in 1999 and managed it for over 7
years. This was preceded by a career of more than 20 years in funds management and
institutional stockbroking
Mike’s last funds management role was with FAI Life, where he was responsible for the
Capital Guaranteed Fund. Prior to this, Mike worked for Ord Minnett Securities as a
small companies analyst and before that was Associate Director –Equities with BZW
Investment Management Ltd. During his 6 years with BZW, the domestic equity fund,
for which Mike was responsible, outperformed the All Ordinaries Index by 3% per
annum
Previously, Mike filled various analytical and funds management roles with PNC
International, Consolidated Press Holdings, CSR, AMP and Renison Goldfields
Mike is Level 2 Options accredited.
29
30. Our Credentials (cont…)
Atika Brown – Equities Adviser
Atika is a Private Client Adviser with 11 years experience in the Financial Services
industry. Atika has been advising clients in Australian equities and derivatives for 9 years
and was formally with Ord Minnett Limited for 8 years before joining Bell Potter in 2006.
Atika holds a Bachelor of Science and a Graduate Diploma in Applied Finance and
Investment and is accredited to deal in Australian and international equities, fixed
interest, government bonds and debentures.
David Lyons – Equities Adviser
David Lyons is an Associate Private Client Adviser. David holds a Bachelor of Commerce
(Finance and Economics) and a Bachelor of Science (Psychology) and has 5 years
experience in the Financial Services Industry. David previously worked with Deutsche
Bank (CDS and Interest Rate Derivatives) before joining Bell Potter in 2006. David has
also worked as an intern management consultant with The Phoenix Group.
David is accredited to deal in Australian and international equities, listed and unlisted
managed funds and fixed interest products, superannuation and retirement savings,
government bonds and debentures.
30
31. Our Credentials (cont…)
Gary Aitkenhead – Equities Adviser
Gary is responsible for servicing the Intermediary Services client base, with special
emphasis on portfolio reviews. Prior to this, Gary worked at Ord Minnett and Shaw
Stockbroking in a similar capacity, the latter specifically catering to the needs of the
ING/ RetireInvest financial planner network under an outsourcing arrangement. Prior
to this role, Gary held the position of Senior Dealer with BNP Paribas (Short Term
Interest Rate desk) and a variety of roles with Westpac, mostly in fixed interest and
foreign exchange operations
Gary is Level 2 Options and CFD accredited
31
32. Our Credentials (cont…)
Sam Byrnes – Desk Assistant
Sam Byrnes joined Bell Potter as a Dealer’s Assistant in February 2008. After
graduating from the University of Wollongong with a Bachelor of Commerce
majoring in Accounting and Finance Sam was formally employed with
Macquarie Bank (Equity Markets).
Sam is the first port of call for any administrative issues or problems as well as
for advice on challenging exercises (such as equity sales for deceased estates).
Colin Davidson – Director, Product and Marketing
Colin’s responsibilities at Bell Potter include internal and external marketing, product
management including Bell Potter’s superannuation service, third party products,
business development within the adviser network, media relations and corporate PR.
Previously worked for Commonwealth Securities and St George Bank. Prior to this he
worked for a number of years as an institutional stockbroker in Asia with Indosuez WI
Carr servicing regional fund managers. He is a Chartered Accountant.
32
33. Our Contact Details
Bell Potter Securities
Level 33, 225 George Street, Sydney
Toll Free 133 788
Facsimile 02 9255 7485
Hamish Church hchurch@bellpotter.com.au 02 9255 8120
Mike Williams mswilliams@bellpotter.com.au 02 9255 7437
Atika Brown abrown@bellpotter.com.au 02 9255 8129
David Lyons dlyons@bellpotter.com.au 02 9255 7423
Gary Aitkenhead gaitkenhead@bellpotter.com.au 02 9255 7408
Sam Byrnes sbyrnes@bellpotter.com.au 02 9255 7277
Colin Davidson cdavidson@bellpotter.com.au 02 9255 7467
33