№ files_lp_4_process_1_37711
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Character count: 2874
File size: 33 KB
Form used for submitting requests to the Registrar and Transfer Agent for issuance of duplicate securities certificates, processing of replacements, endorsements, subdivisions, consolidations, transmissions, or transpositions, with instructions to facilitate dematerialization of securities.
Year:
2022
Jurisdiction:
India
Regulatory Body:
Securities and Exchange Board of India (SEBI)
Document Type:
Form / Application
Related Circulars:
SEBI/HO/MIRSD/MIRSD_RTAMB/P/CIR/2022/8 (January 25, 2022), SEBI circular dated November 03, 2021
Purpose:
Request for duplicate certificate, replacement, renewal, endorsement, subdivision, consolidation, transmission, or transposition of securities held in physical form
Applicable Securities:
Shares, Debentures, Bonds
Required Documents:
Demat Account details, PAN, specimen signature, nomination/declaration, certificates for processing requests
Processing Period:
120 days from issuance of Letter of Confirmation
Issuer:
Depository Participant / Registrar and Transfer Agent (RTA)
Signatories:
Security holder(s)
Price: 8 / 10 USD
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The product description is provided for reference. Actual content and formatting may differ slightly.
Year:
2021
Document type:
Regulatory application form section
Framework:
Qualifying Investor Alternative Investment Fund (QIAIF)
Regulatory authority:
Central Bank
Jurisdiction:
Ireland
Scope:
Prospectus and prospectus supplement content
Applies to:
Umbrella funds, sub-funds, and share classes
Target audience:
Qualifying investors
Related legislation:
Companies Act 1990, Part XIII
Base currency disclosure:
Required
Minimum subscription:
At least €100,000
Content focus:
Fund structure, governance, investment objectives, policies, and restrictions
Note:
Year
Year:
2023
Region / City:
Guernsey
Topic:
Investment Funds, Regulation
Document Type:
Guidance
Organization / Institution:
Guernsey Financial Services Commission
Author:
Guernsey Financial Services Commission
Target Audience:
Financial Service Providers, Investors, Fund Managers
Period of Validity:
Ongoing
Approval Date:
2023
Date of Changes:
Not specified
Year:
2020
Region / City:
Bailiwick of Guernsey
Subject:
Investment Funds, Regulatory Compliance
Document Type:
Application Form
Institution:
Guernsey Financial Services Commission
Author:
Guernsey Financial Services Commission
Target Audience:
Professional Investors, Investment Fund Managers
Period of Validity:
Not specified
Approval Date:
Not specified
Date of Changes:
Not specified
Year:
2014
Region / city:
European Union
Theme:
Financial Regulation
Document Type:
Consultation Paper
Author:
European Securities and Markets Authority (ESMA)
Target Audience:
Financial institutions, regulatory bodies, investors
Period of Validity:
Not specified
Approval Date:
Not specified
Date of Changes:
Not specified
Year:
2025
Region / city:
Toronto
Industry:
Biopharmaceutical
Document type:
Press release
Organization:
Quantum BioPharma Ltd.
Author:
Unknown
Target audience:
Investors, financial professionals
Effective period:
February 11, 2025
Approval date:
February 11, 2025
Date of changes:
None
Year:
2019
Jurisdiction:
India
Subject:
Investor Education and Protection Fund (IEPF) compliance
Document Type:
Regulatory Guidance / Procedure Document
Governing Authority:
Ministry of Corporate Affairs (MCA)
Applicable Sections:
Companies Act, 2013, Section 125
Form Numbers:
IEPF-1, IEPF-2, IEPF-4, IEPF-5, IEPF-7
Rules Referenced:
Rule 5(1), 5(8), 6(3), 6(5), 7(1), 7(2B), 6(13) of IEPF Rules
Filing Deadlines:
7–60 days depending on form and action
Target Audience:
Companies, Company Secretaries, Nodal Officers, Investors
Procedures Included:
Transfer of unpaid amounts, annual statements, appointment of nodal officer, share transfers, newspaper publication, claim applications
Year:
2025
Region / City:
United Kingdom
Subject:
Obesity, Public Health Policy
Document Type:
Written Evidence Submission
Organization:
The Investor Coalition on Food Policy
Author:
Sarah Buszard
Target Audience:
UK Government, Policy Makers, Investors, Food Industry Stakeholders
Period of Validity:
August 2025
Approval Date:
Not stated
Date of Revisions:
Not stated
Year:
2023
Region / City:
N/A
Theme:
Investor Complaints Management
Document Type:
Report
Organization / Institution:
N/A
Author:
N/A
Target Audience:
N/A
Effective Period:
April 2023
Approval Date:
N/A
Modification Date:
N/A
Pending Complaints:
0
Resolved Complaints:
0
Average Resolution Time:
7 days
Source:
SEBI (SCORES), Depositories, Other Sources
End of Month Pending Complaints:
0
Time Period:
Monthly, Annual
Complaint Resolution Frequency:
Monthly
Year:
2014
Region / city:
USA
Topic:
Environmental impact of hydraulic fracturing operations
Document type:
Press release
Organization / institution:
Green Century Capital Management, As You Sow, Investor Environmental Health Network
Author:
Lucia von Reusner, Danielle Fugere, Richard Liroff, others
Target audience:
Investors, environmental advocates, oil and gas industry stakeholders
Effective period:
June 2014
Approval date:
June 10, 2014
Changes date:
Not specified
Year:
2021
Region / City:
Los Angeles
Subject:
Securities Litigation
Document Type:
Press Release
Organization:
The Schall Law Firm
Author:
Brian Schall
Target Audience:
Investors in Sleep Number Corporation
Period of Action:
February 18, 2021 - July 20, 2021
Approval Date:
December 24, 2021
Date of Amendments:
N/A
Year:
2026
Region / City:
India
Topic:
Investor Complaints
Document Type:
Report
Author:
N/A
Target Audience:
Regulators, Financial Institutions, Investors
Period of Validity:
January 2026
Date of Approval:
N/A
Date of Changes:
N/A
Description:
Monthly report detailing the status of investor complaints received, resolved, and pending, along with the average resolution time.
Fund name:
Arbrook American Equities Fund
Share class:
Class B10 (GBP) Income Shares
Fund structure:
Sub-fund of Skyline Umbrella Fund ICAV
ISIN:
IE00BGV5W438
Fund manager:
IQ EQ Fund Management (Ireland) Limited
Depositary:
Northern Trust Fiduciary Services (Ireland) Ltd
Benchmark index:
S&P 500 Index
Investment objective:
Capital appreciation and income over the medium term
Investment strategy:
Actively managed diversified portfolio of predominantly United States equities
Minimum equity allocation:
At least 80% of assets in equities and equity-like securities
Dividend policy:
Income shares paying dividends
Investor risk profile:
Medium to high risk tolerance
Recommended investment horizon:
Minimum 3 years
Risk category indicator:
6 on a scale of 1–7
Ongoing charges:
0.74% per year
Entry charge:
0% (maximum)
Exit charge:
0% (maximum)
Performance fee:
None
Share class launch date:
25 September 2019
Base currency of performance calculation:
GBP
Legal structure:
Irish ICAV with segregated liability between sub-funds
Availability of reports:
Prospectus, supplements, annual and semi-annual reports available in English from the Manager
Swiss representative:
1741 Fonds Solutions AG
Swiss paying agent:
Bank Vontobel AG
Year:
2022
Date:
December 9, 2022
Company:
Emperor Metals Inc.
Industry:
Mineral exploration and mining
Region:
Vancouver, British Columbia, Canada
Stock Exchange:
Canadian Securities Exchange (CSE: AUOZ)
Document Type:
Corporate news release
Subject:
Private placement financing and investor relations agreement
Financing Type:
Non-brokered private placement
First Tranche Details:
10,155,728 flow-through shares at $0.23 per share
Gross Proceeds:
$2,335,817
Finder’s Compensation:
$138,907 cash and 603,943 finder’s warrants
Finder’s Warrant Terms:
Exercise price $0.17 per common share, 24-month term
Hold Period:
Four months and one day from closing date
Use of Proceeds:
Canadian exploration expenses qualifying as flow-through mining expenditures
Project:
Duquesne West Gold Project
Project Location:
Quebec, Canada, near Rouyn-Noranda and Duparquet
Historical Mineral Resource Estimate:
727,000 ounces of gold at 5.42 g/t Au
Technical Report Reference:
Watts, Griffis and McOuat Consulting Geologists and Engineers, October 20, 2011
Qualified Person:
John Florek, M.Sc., P.Geol., Apical Exploration
Investor Relations Contractor:
Peak Investor Marketing Corp.
Marketing Agreement Term:
Initial 12 months
Monthly Fee:
$12,000
Stock Options Granted:
400,000 options at $0.18 per share
Authorizing Body:
Board of Directors of Emperor Metals Inc.
Signatory:
John Florek, CEO and Director
Note:
Year
Organization / Institution:
Bishop Grosseteste University
Target Audience:
Applicants requesting a duplicate academic transcript or diploma supplement
Year:
2022
Region / City:
India
Subject:
Securities Issuance and Dematerialization Requests
Document Type:
Form
Organization / Institution:
SEBI (Securities and Exchange Board of India)
Author:
Not specified
Target Audience:
Securities holders, claimants, and investors
Effective Period:
120 days from the issuance of Letter of Confirmation
Approval Date:
January 25, 2022
Date of Changes:
Not specified
Note:
Date
Declaration:
All the above facts stated are true and correct to best of my / our knowledge and belief.
Year:
2022
Region / City:
Not specified
Topic:
Securities, Investor Service Requests
Document Type:
Form
Issuing Organization:
SEBI
Author:
Not specified
Target Audience:
Investors and security holders
Validity Period:
120 days from date of issuance of Letter of Confirmation
Approval Date:
January 25, 2022
Amendment Date:
Not specified
Year:
2020
Region / City:
San Jose, CA
Subject:
Wireless LANs, Non-HT Duplicate Transmission
Document Type:
Draft Text
Organization / Institution:
IEEE
Author:
Rui Cao
Target Audience:
Technical professionals in wireless communications
Period of Validity:
Not specified
Approval Date:
2020-11-16
Revision Date:
Not specified