Conning, Inc., Goodwin Capital Advisers, Inc., Conning Investment Products, Inc., a FINRA-registered broker-dealer, Conning Asset Management Limited, Conning Asia Pacific Limited, Octagon Credit Investors, LLC and Global Evolution Holding ApS and its group of companies (“Global Evolution”) are all direct or indirect subsidiaries of Conning Holdings Limited (collectively, “Conning”) which is one of the family of companies owned by Cathay Financial Holding Co., Ltd., a Taiwan-based company. Conning has investment centers in Asia, Europe and North America.
Conning, Inc., Conning Investment Products, Inc., Goodwin Capital Advisers, Inc., Octagon Credit Investors, LLC, and Global Evolution USA, LLC are registered with the Securities and Exchange Commission (“SEC”) under the Investment Advisers Act of 1940 and have noticed other jurisdictions they are conducting securities advisory business when required by law. In any other jurisdictions where they have not provided notice and are not exempt or excluded from those laws, they cannot transact business as an investment adviser and may not be able to respond to individual inquiries if the response could potentially lead to a transaction in securities. SEC registration does not carry any official imprimatur or indicates that the adviser has attained a level of skill or ability.
Conning, Inc. is also registered with the National Futures Association and Korea’s Financial Services Commission. Conning Investment Products, Inc. is also registered with the Ontario Securities Commission. Conning Asset Management Limited is Authorised and regulated by the United Kingdom's Financial Conduct Authority (FCA#189316), Conning Asia Pacific Limited is regulated by Hong Kong’s Securities and Futures Commission for Types 1, 4 and 9 regulated activities, and Global Evolution Fondsmæglerselskab A / S (FSA #8193) is regulated by Finanstilsynet (the Danish FSA). Conning and Global Evolution primarily provide asset management services for third-party assets.
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Information on this website is for informational purposes only and should be not be interpreted as an offer to sell, or a solicitation or recommendation of an offer to buy any security, product or service, or retain Conning for investment advisory services. This information is not intended to be nor should it be used as investment advice and should not be copied or distributed without the prior consent of Conning. For complete details regarding Conning and its services, you should refer to our Form ADV Part 2, which may be obtained at https://adviserinfo.sec.gov/. GEMS®, FIRM®, and ADVISE® are registered trademarks of Conning, Inc. By accessing this Web site and any materials presented herein (the “Site”), you acknowledge and accept the terms and conditions pertaining to use of the Site (the “Terms of Use”). Conning reserves the right to change these Terms of Use without notice at any time. Each use of the Site constitutes your agreement to be bound by the then-current terms and conditions set forth in the Terms of Use.
October 26, 2017
Conning’s Funded Status Tracker is a quarterly publication that tracks the performance of the average defined benefit pension plan (the “Plan”) of corporate sponsors comprising the Russell 3000 Index.