Holdings Report definition
Examples of Holdings Report in a sentence
Information contained in the Initial Holdings Report must be current as of 45 days prior to the person becoming an Access Person.
Each Annual Holdings Report will also include an Annual Certification of Compliance, signed by the Access Person, in which the Access Person certifies that he or she has read and understands this Code, has complied with the requirements of this Code, and has reported all Securities Transactions in Accounts required to be disclosed or reported pursuant to the requirements of this Code.
According to a schedule adopted by the Supervisor or his designee, each Access Person must submit an Annual Holdings Report which is current as of a date no more than thirty (30) days before the report is submitted.
In coordination with State Street Fund Accounting, classify the portfolio assets of each Fund and provide the following reports to ▇▇▇▇▇ ▇▇▇▇▇: Holdings Report; Roll Forward Report; Tracking Report and Exception Report.
In addition with respect to brokerage accounts, the Quarterly Holdings Report must include the name of any broker, dealer, or bank with whom an account was established during the quarter in which Covered Securities were held for the direct or indirect benefit of the Access Person and the date such account was established.
Information submitted by an Access Person on their Initial Holdings Report must contain information with respect to covered seceurities that is current as of a date no more than 45 days prior to the date the Initial Holdings report is submitted.
In addition, with respect to brokerage accounts, the Annual Holdings Report must include the name of any broker, dealer, or bank with whom the Access Person maintained an account in which Covered Securities were held for the direct or indirect benefit of the Access Person.
For the purposes of the Quarterly Holdings Report, calculations shall be made on the first day of each fiscal quarter utilizing the most recent financial information received by the Company at least 15 days prior to such date.
In addition, with respect to brokerage accounts, the Initial Holdings Report must include the name of any broker, dealer, or bank with whom the Access Person maintained an account in which Covered Securities were held for the direct or indirect benefit of the Access Person as of the date the person became an Access Person.
A copy of each Quarterly Transaction Report, Initial Holdings Report, and Annual Holdings Report submitted under this Code, including any information provided in lieu of any such reports made under the Code, will be preserved for a period of at least five years from the end of the fiscal year in which it is made, for the first two years in an easily accessible place.