0000353291-19-000007.txt : 20190802
0000353291-19-000007.hdr.sgml : 20190802
20190802124331
ACCESSION NUMBER: 0000353291-19-000007
CONFORMED SUBMISSION TYPE: TA-1/A
PUBLIC DOCUMENT COUNT: 1
FILED AS OF DATE: 20190607
DATE AS OF CHANGE: 20190802
EFFECTIVENESS DATE: 20190617
FILER:
COMPANY DATA:
COMPANY CONFORMED NAME: FRANKLIN TEMPLETON INVESTOR SERVICES LLC /TA
CENTRAL INDEX KEY: 0000353291
IRS NUMBER: 000000000
STATE OF INCORPORATION: CA
FISCAL YEAR END: 0930
FILING VALUES:
FORM TYPE: TA-1/A
SEC ACT: 1934 Act
SEC FILE NUMBER: 084-01036
FILM NUMBER: 19995110
BUSINESS ADDRESS:
STREET 1: 3344 QUALITY DR
CITY: RANCHO CORDOVA
STATE: CA
ZIP: 95670
BUSINESS PHONE: 9164634350
MAIL ADDRESS:
STREET 1: P O BOX 2258
CITY: RANCHO CORDOVA
STATE: CA
ZIP: 95741-2258
FORMER COMPANY:
FORMER CONFORMED NAME: FRANKLIN TEMPLETON INVESTOR SERVICES INC /TA
DATE OF NAME CHANGE: 20010427
FORMER COMPANY:
FORMER CONFORMED NAME: FRANKLIN ADMINISTRATIVE SERVICES INC /TA
DATE OF NAME CHANGE: 19931214
FORMER COMPANY:
FORMER CONFORMED NAME: FRANKLIN TEMPLETON INVESTOR SERVICES LLC /TA
DATE OF NAME CHANGE: 19810605
TA-1/A
1
primary_doc.xml
X0405
TA-1/A
0000353291
XXXXXXXX
084-01036
false
LIVE
SEC
FRANKLIN TEMPLETON INVESTOR SERVICES LLC /TA
FRANKLIN TEMPLETON INVESTOR SERVICES INC /TA
404665
3344 Quality Drive
Rancho Cordova
CA
95670
N
916-463-4350
Y
100 Fountain Parkway
St. Petersburg
FL
33716
One Franklin Parkway
San Mateo
CA
94403
N
Y
Franklin Templeton International Service (India) Private Limited
084-06303
Franklin Templeton Park
Plot #18-23 Financial Dist. Nanakramguda
Hyderabad
K7
500019
Franklin Templeton Investments Poland sp. z o.o.
084-06302
Andersia Tower
Plac Andersia 3, 14th Floor
Poznan
R9
61-894
Franklin Templeton Investment Services GmbH
084-06340
Mainzer Landstrasse 16
D-60325 Frankfurt am Main
2M
D-60325
N
Other
Templeton Worldwide, Inc.
01/01/2001
Sole Member
Mgmt of business & affairs of registrant
Limited Liability Company
Y
Franklin Resources, Inc.
100% ownership of Templeton Worldwide, Inc.
N
N
N
N
N
Y
Franklin Advisers, Inc. (FAV)
In the matter of FAV, Administrative Proceeding File No. 3-11572
08/02/2004
U.S. Securities and Exchange Commission (SEC)
The action concerned the SEC's investigation of market timing activity.
FAV and the SEC reached an agreement that resolved the issues resulting from the investigation into market timing activity.
FAV and Franklin Templeton Distributors, Inc. (FTDI)
In the matter of FAV and FTDI, Administrative Proceeding File No.
12/13/2004
U.S. Securities and Exchange Commission (SEC)
The action concerned the SEC's investigation of marketing support payments to securities dealer who sell fund shares.
FAV and FTDI reached an agreement with the SEC that resolved the issues resulting from the investigation into marketing support payments to securities dealers who sell fund shares.
Y
FAV
In the matter of FAV Admnistrative Proceeding File No. 3-11572
08/08/2004
SEC
The action concerned the SEC's investigation of market timing activity.
FAV and SEC reached an agreement that resolved the issues from the investigation into market timing activity.
FAV and FTDI
In the matter of FAV and FTDI, Administrative Proceeding No. 3-11769
12/13/2004
SEC
The action concerned the SEC's investigation of marketing support payments to securities dealers who sell fund shares.
FAV and FTDI reached an agreement with the SEC that resolved the issues resulting from the investigation into marketing support payments to securities dealers who sell fund shares.
N
N
Y
FAV and Franklin Templeton Alternative Strategies, Inc. (FTASI)
In the matter of FAV and FTASI, Docket No. E-2004-007
09/20/2004
Securities Division Office of the Secretary of the Commonwealth of Massachusetts
The action concerned the Commonwealth of Massachusetts' investigation of market timing activity.
FAV and FTASI reached an agreement with the Commonwealth of Massachusetts that resolved the issues resulting from the investigation of market timing activityl
Franklin Resources, Inc. (FRI)
In the matter of FRI, Docket No. 2004-0044
11/19/2004
Securities Division Office of the Secretary of the Commonwealth of Massachusetts
FRI's disclosure in Form 8-K regarding FAV and FTASI's agreement with the Commonwealth of Massachusetts that resolved the issues from the investigation of market timing activity.
FRI and the Commonwealth of Massachusetts reached an agreement that resolved the issue resulting from FRI's Form 8-K disclosure.
Y
FAV and FTASI
In the matter of FAV and FTASI, Docket No. E-2004-007
09/20/2004
Securities Division of the Secretary of the Commonwealth of Massachusetts
The action concerned the Commonwealth of Massachusetts' investigation of market timing activity.
FAV and FTASI reached an agreement with the Commonwealth of Massachusetts that resolved the issue resulting from the investigation of market timing activity.
FRI
In the matter of FRI, Docket No. E-2004-0044
11/19/2004
Securities Division of the Secretary of the Commonwealth of Massachusetts
FRI's disclosure in Form 8-K regarding FAV and FTASI's agreement with the Commonwealth of Massachusetts that resolved the issues from the investigation of market timing activity.
FTI and the Commonwealth of Massachusetts reached an agreement that resolved the issue resulting from FTI's Form 8-K disclosure.
N
Y
FAV and FTASI
In the matter of FAV and FTASI, Docket No. E-2004-007
09/20/2004
Securities Division of the Secretary of the Commonwealth of Massachusetts
The action concerned the Commonwealth of Massachusetts' investigation of market timing activity.
FAV and FTASI reached an agreement with the Commonwealth of Massachusetts that resolved the issues resulting from the investigation of market timing activity.
FRI
In the matter of FTI, Docket No. E-2004-0044
11/19/2004
Securities Division of the Secretary of the Commonwealth of Massachusetts
FRI's disclosure in Form 8-K regarding FAV and FTASI's agreement with the Commonwealth of Massachusetts that resolved the issues from the investigation of market timing activity.
FRI and the Commonwealth of Massachusetts reached an agreement that resolved the issue resulting from FRI's Form 8-K disclosure.
N
N
N
N
N
N
Y
Franklin Templeton Investments Corp. (FTIC)
Securities Act R.S.O. 1990, C.S.5., as amended and FTIC
03/03/2005
Ontario Securities Commission (OSC)
The action concerned the OSC's investigation into market timing activity.
FTIC and the OSC reached and agreement the resolved the issues resulting from the OSC's investigation into market timing activity.
Templeton Asset Management Ltd. (TAML)
Stipulated Censure
12/14/2010
The Hong Kong Securities and Futures Commission (SFC)
SFC issued a public censure of TAML in connection with its finding that TAML breached Rule 22 of the Hong Kong Takeovers Code as a result of TAML's inadvertent failure to disclose its dealings in the shares of a Hong Kong company between January 26, 2010 and April 15, 2010.
Resolved. TAML cooperated with the SFC and consented to the censure in connection with its inadvertent failure to make disclosures required by the Takeovers Code. TAML publicly disclosed its holdings, but missed the additional code requirements.
Franklin Templeton Asset Management (India) Private Limited
Adjudication Order No. NP/JS/AO/4-6/2016
05/03/2016
Securities and Exhange Board of India (SEBI)
SEBI issued a finding that an Indian-domiciled mutual fund was not operated in accordance with the SEBI regulations that stipulate the for of the fund's investment committee (IC) and require that the fund carry out all of its operations, including location of IC Members, within India. In connection with that finding, SEBI imposed a penalty on the fund, fund's trustee company and the advisor a manager of the fund in the amount of approximately US$14,672 (the equivalent of the INR amount as of the date of payment) which was paid by the adviser on behalf of all parties.
SEBI imposed a penalty on the Fund, Fund's trustee company and the adviser as manager of the fund of INR 1,000,000 (approximately US$14,672 as of date of payment) was paid by the adviser on behalf of all the parties to resolve the matter on 11/29/16.
Franklin Templeton Investment Trust Management Co. LTD. (FTITMC); Certain Employees of Franklin Templeton Investment Trust Management Co. LTD.
Regulatory Inspection
04/11/2019
Asset Management Examination Dept. of the Korean Financial Supervisory Service
In connection with a review of FTITMC's risk management controls and procedures applicable to funds domiciled in Korea under Korean law, the Asset Management Examination Department of the Korean Financial Supervisory Service (FSS) alleged the following deficiencies in connection with the bankruptcies of certain portfolio holdings of certain such funds managed by FTITMC: failure to disclose the details of non-performing assets; failure to provide timely net asset value of such funds reflecting fair market valuation of debt/equity swaps; failure to manage the funds in line with trust agreements with respect to credit and asset limits; and failure to prepare adequate risk management standards for certain Korean domiciled funds that held loans to companies that entered into Chapter 11 bankruptcy in the U.S. FTITMC cooperated with the review throughout the administrative proceeding.
FSS imposed an institutional caution and fine of KRW 50 million, ultimately reduced to KRW 40 million (approximately $34,036 at time of payment) for timely payment.
N
N
N
Basil K. Fox, Jr.
916-463-1515
President
06/07/2019