Data Dictionary
Item Number J293
MANAGED ASSETS HELD IN FIDUCIARY ACCOUNTS:INVESTMENTS IN UNREGISTERED FUNDS AND PRIVATE EQUITY INVESTMENTS-PERSONAL TRUST AND AGENCY AND INVESTMENT MANAGEMENT AGENCY ACCOUNTSCall confidentiality applies to FFIEC 031/041.
| Series | Start Date | End Date | Confidential? | Reporting Forms |
|---|---|---|---|---|
| RCFDJ293 | 2009-12-31 | 9999-12-31 | No | FFIEC 031 |
| RCONJ293 | 2009-12-31 | 9999-12-31 | No | FFIEC 041 |
| RCONJ293 | 2009-12-31 | 9999-12-31 | No | FFIEC 051 |
| SVGLJ293 | 2009-12-31 | 2011-12-31 | No | OTS 1313 |
Data Description:
FFIEC031 - Report the market value of managed assets held in (a) personal trust and agency accounts and (b) investment management agency accounts of all holdings of funds exempt from registration under Sections 3(c)(1) or 3(c)(7) of the Investment Company Act of 1940, for example, "hedge funds." Report all holdings of private equity investments exempt from registration under Securities Act of 1933 Regulation D. Private equity investments is an asset class consisting of purchased equity securities in operating companies that are not publicly traded on a stock exchange or otherwise registered with the SEC under federal securities laws. Private equity-related funds are funds that invest primarily in private equity investments. Unregistered private equity funds should be reported in this item.
Investments in family businesses that are associated with the grantors or beneficiaries of a fiduciary account should not be reported in this Memorandum item as a "private equity investment." Such investments may arise, for example, from an in-kind transfer to a fiduciary account of securities in a closely-held family business or an increase in a fiduciary account's percentage ownership of an existing closely-held family business whose securities are held in the account. Such investments should be reported in Schedule RC-T, Memorandum item 1.o, "Miscellaneous assets."
SVGL - Report all holdings of funds exempt from registration under Sections 3c1 or 3c7 of the Investment Company Act of 1940, for example, "hedge funds". Report all holdings of private equity investments exempt from registration under Securities Act of 1933 Regulation D. Private equity investments is an asset class consisting of purchased equity securities in operating companies that are not publicly traded on a stock exchange or otherwise registered with the SEC under federal securities laws. Private equity related funds are funds that invest primarily in private equity investments. Unregistered private equity funds should be reported in this item.
Investments in family businesses that are associated with the grantors or beneficiaries of a fiduciary account should not be reported in this Memorandum item as a "private equity investment". Such investments may arise, for example, from an in-kind transfer to a fiduciary account of securities of a closely-held family business or an increase in a fiduciary account's percentage ownership of an existing closely-held family business whose securities are held in the account. Such investments should be
reported in FS460 through FS462.