Conning, Inc., Goodwin Capital Advisers, Inc., Conning Investment Products, Inc., a FINRA-registered broker dealer, Conning Asset Management Limited, Conning Asia Pacific Limited, and Octagon Credit Investors, LLC 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 offices in Boston, Cologne, Hartford, Hong Kong, London, New York and Tokyo.
Conning, Inc., Conning Investment Products, Inc., Goodwin Capital Advisers, Inc., and Octagon Credit Investors, 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.
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), and Conning Asia Pacific Limited is regulated by Hong Kong’s Securities and Futures Commission for Types 1, 4 and 9 regulated activities. Conning primarily provides asset management services for third-party assets. Conning predominantly invests client portfolios in fixed income strategies in accordance with guidelines supplied by its institutional clients.
THIS WEBSITE IS INTENDED FOR INSTITUTIONAL INVESTORS ONLY.
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 by calling us. 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.
