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Process agents
Nov 10, 2020 04:49
3 yrs ago
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English term

Non-reportable securities

English to French Bus/Financial Finance (general) Corporate/Policy
Non-Reportable Securities: Unless otherwise
communicated to selected XXXXXX Group Personnel,
for the purposes of this Policy the following Securities are
non-reportable:
• Exchange Traded Funds (ETFs), mutual funds, unit
investment trusts (such as UCITS etc.) and similar
entities
• Government securities (treasury securities, savings
bonds and other direct obligations)
• Options on currencies and exchange-traded options on
foreign currencies
• Over-the-counter foreign currency options and swaptions
• Cash, “near cash,” and cash equivalents: e.g. bank
accounts, certificates of deposit, money market fund
shares and commercial paper
• Personal accounts over which the Employee has
no direct or indirect influence or control (e.g., a
Discretionary (or Managed) Account, blind trust etc.)
• US - 529 accounts, 401k retirement accounts or
similar in other jurisdictions that can only hold NonReportable Securities
• Investments effected pursuant to an automatic
investment plan (i.e., regular periodic purchases or
sales in accordance with a predetermined schedule)
• Single-facet cryptocurrency.
Proposed translations (French)
3 titres à déclaration facultative
4 titres aux transactions non soumises à declaration

Discussion

Germaine Nov 10, 2020:
Titres [exemptés de déclaration] [dont la déclaration est facultative]... aux fins de la présente Politique, les titres suivants sont exemptés de déclaration:...

Proposed translations

4 hrs
Selected

titres à déclaration facultative

Une idée...
Peer comment(s):
agree Germaine : ou omissible
5 hrs
disagree Francois Boye : ce sont les transactions sur les titres qui sont non soumises à declaration
7 hrs
agree Eliza Hall
8 hrs
disagree ph-b (X) : En fait, facultatif = « qu'on peut... ou non ». Ce n'est pas le cas ici : soit on doit les déclarer, soit on en est exempté. Ce n'est pas vous qui choisissez. C'est un contresens à mon avis.
2 days 7 hrs
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4 KudoZ points awarded for this answer.
12 hrs

titres aux transactions non soumises à declaration

A reminder to advisers, the code of ethics you adopted probably requires quarterly reports to be prepared for all personal securities transactions made by access persons.

Rule 204A-1 treats all securities as reportable securities, but list five exceptions designed to exclude securities that appear to present little opportunity for the type of improper trading that the access person reports are designed to uncover. These include transactions and holdings in:

*direct obligations of the Government of the United States.
*money market instruments — bankers’ acceptances, bank certificates of deposit, commercial paper, repurchase agreements and other high quality short-term debt instruments.
*shares of money market funds.
*shares of other types of mutual funds, unless the adviser or a control affiliate acts as the investment adviser or principal underwriter for the fund.
*units of a unit investment trust if the unit investment trust is invested exclusively in unaffiliated mutual funds.

Source: http://theiprblog.com/2013/07/time-for-quarterly-transaction...
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