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该子基金的整体投资目标是为投资者带来收入与资本保值相符的回报。该子基金主要透过投资于美元结算的优先证券及债务证券组合,以达致整体投资目标。在此投资组合内,该子基金可进行投资,特别是可投资于可转换债券,并可将其不超过50%的资产净值投资于或有可转换证券(「或有可转换证券」)、主顺位非优先受偿债券、银行二级债券、一级资本债券等带有亏损吸收功能的债务工具。该子基金亦可持有辅助流动资产如银行存款,但所持有的辅助流动资产及非优先或债务证券或金融工具的总金额,不可超过该子基金资产净值的三分之一。该子基金对在新兴市场内的市场/交易所买卖的证券所投资的金额,将不会超过其资产净值百分之二十。该子基金对在投资时低于投资等级的证券所投资的金额,将不会超过其资产净值百分之二十。
名称 | 标题 | 任期 | 至 |
---|---|---|---|
Mark Lieb | CEO | 2003 | now |
背景介紹 | MARK A. LIEB - Founder, President and Chief Executive Officer. Prior to founding Spectrum in 1987, Mr. Lieb was a Founder, Director and Partner of DBL Preferred Management, Inc., a wholly owned corporate cash management subsidiary of Drexel Burnham Lambert, Inc. Mr. Lieb was instrumental in the formation and development of all aspects of DBL Preferred Management, Inc., including the daily management of preferred stock portfolios for institutional clients, hedging strategies, and marketing strategies. Mr. Lieb's prior employment included the development of the preferred stock trading desk at Mosley Hallgarten & Estabrook. Mr. Lieb holds a BA in Economics from Central Connecticut State College and an MBA (Finance) from the University of Hartford. | ||
L. Phillip Jocoby | Senior Vice President | 2003 | now |
背景介紹 | Mr. Jacoby joined Spectrum in 1995 as a Portfolio Manager and most recently held the position of Managing Director and Senior Portfolio Manager until his appointment as CIO on January 1, 2010, following the planned retirement of his predecessor. Prior to joining Spectrum, Mr. Jacoby was a Senior Investment Officer at USL Capital Corporation (a subsidiary of Ford Motor Corporation) and co-manager of the preferred stock portfolio of its US Corporate Financing Division for six years. Mr. Jacoby began his career in 1981 with The Northern Trust Company, Chicago and then moved to Los Angeles to join E.F. Hutton & Co. as a Vice President and Institutional Salesman, Generalist Fixed Income Sales through most of the 1980s. Mr. Jacoby holds a BSBA (Finance) from the Boston University School of Management. | ||
Bernard M. Sussman | CIO (Chief Investment Officer) | 2003 | 2005 |
背景介紹 | Sussman is chief investment officer of Spectrum and chair of its Investment Committee. Prior to joining Spectrum in 1995, he was a general partner and head of the Preferred Stock area of Goldman Sachs & Co. Sussman was responsible for sales, trading and underwriting for all preferred products and was instrumental in the development of the hybrid (MIPS) market. |
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