№ files_lp_4_process_2_75869
File format: docx
Character count: 35850
File size: 87 KB
Regulatory source detailing the information required from depositaries appointed by management companies for collective investment companies, including duties, independence, and reporting obligations.
Year:
2020
Region / City:
Netherlands
Subject:
Financial supervision and depositary notification
Document Type:
Regulatory form
Authority / Institution:
Dutch Authority for the Financial Markets (AFM), De Nederlandsche Bank (DNB)
Applicable Legislation:
Financial Supervision Act (Wft), AIFM Directive 2011/61/EU, UCITS Directive 2009/65/EC, Delegated Regulation (EU) No. 231/2013
Target Audience:
Management companies of collective investment companies
Period of Validity:
From June 2020 until superseded by a new version
Date of Approval:
June 2020
Confidentiality:
Subject to statutory confidentiality under Wft
Related Documents:
Notification form for collective investment company
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The product description is provided for reference. Actual content and formatting may differ slightly.
Year:
2017
Region / city:
Netherlands
Theme:
Financial regulation
Document type:
Application form
Institution:
Dutch Authority for the Financial Markets (AFM)
Author:
Not specified
Target audience:
Businesses seeking a depositary licence
Period of validity:
Not specified
Approval date:
Not specified
Amendment date:
Not specified
Year:
20[ ]
Region / City:
United States
Subject:
Securities law, investment, financial instruments
Document Type:
Legal agreement
Organ / Institution:
[Company]
Author:
National coalition of attorneys
Target Audience:
Investors, issuers, bank placement agents
Period of Action:
Not specified
Approval Date:
Not specified
Amendment Date:
Not specified
Notification Form for Depositary Supplement to "Notification Form for Collective Investment Company"
Year:
2020
Region / City:
Netherlands
Topic:
Financial Regulations
Document Type:
Notification Form
Institution:
Dutch Authority for the Financial Markets (AFM)
Author:
Dutch Authority for the Financial Markets (AFM)
Target Audience:
Financial management companies, depositaries
Period of Effect:
2020 onwards
Approval Date:
June 2020
Date of Changes:
Not specified
Note:
Year
Contextual description:
A regulatory checklist document outlining the eligibility criteria for listing certain securities, specifically depositary receipts, including legal and regulatory requirements for certification and issuer qualifications.
Year:
2013
Region / city:
Jersey
Topic:
Appointment of depositary for AIFs
Document type:
Notification form
Organization:
Jersey Financial Services Commission
Author:
Not specified
Target audience:
Depositaries of AIFs with EU/EEA AIFM
Effective period:
Not specified
Approval date:
Not specified
Modification date:
Not specified
Context:
This is a formal notification form for Jersey depositaries appointed to alternative investment funds (AIFs), requiring them to inform the Jersey Financial Services Commission of their appointment in compliance with the AIF Codes and related regulations.
Year:
2001
Region / City:
London, England
Subject:
Securities listing on NYSE American
Document Type:
Application
Organization:
NYSE American LLC
Issuer:
Foreign Corporation
Shares Applied:
66,040,000 ADRs representing Ordinary Stock
Depositary:
XYZ Trust Company
Attachments:
Deposit Agreement, Proxy Statement, Annual and Semi-Annual SEC Reports
Approval Status:
Pending at time of document
Year:
2023
Region / City:
[insert name of school district]
Theme:
Health and Safety
Document Type:
Letter
Organization / Institution:
[insert name of school district]
Author:
[insert name of school district]
Target Audience:
Parents, Guardians, Medical Providers
Period of Validity:
Ongoing
Approval Date:
[insert date]
Modification Date:
[insert date]
Note:
Year
Region / City:
Bernalillo County
Theme:
Air Quality, Environmental Regulations
Document Type:
Application Form
Agency / Institution:
City of Albuquerque
Target Audience:
Facility owners, operators, and applicants for AQN
Certification:
Signed by responsible officer
Year:
2011
Jurisdiction:
Queensland, Australia
Document Type:
Notification Form
Legislation:
Waste Reduction and Recycling Act 2011
Responsible Authority:
Department of Environment and Science
Target Audience:
Individuals or corporations intending to use a resource under an end of waste code
Relevant Law:
Right to Information Act 2009, Evidence Act 1977
Required Information:
Legal entity details, site contact, end of waste code usage details, declaration and signature
Submission Method:
Email or postal submission to Department of Environment and Science
Year:
2015
Region / city:
Georgia
Topic:
Job Vacancy
Document type:
Job Announcement
Organization / institution:
Georgia Bureau of Investigation
Author:
Georgia Bureau of Investigation
Target audience:
Job seekers
Effective period:
Until December 6, 2015
Approval date:
November 6, 2015
Modification date:
N/A
Year:
2007
Region / City:
Malaysia
Topic:
Capital Markets and Services Act 2007
Document Type:
Form
Institution:
Securities Commission Malaysia
Target Audience:
Companies regulated by the Securities Commission Malaysia
Period of Validity:
N/A
Approval Date:
N/A
Date of Changes:
N/A
Year:
2017
Region / City:
European Union
Theme:
Medical Device Regulation
Document Type:
Regulatory Document
Organization / Institution:
Medical Device Coordination Group (MDCG)
Target Audience:
National Authorities, Notified Bodies, Conformity Assessment Bodies
Period of Validity:
Not specified
Approval Date:
Not specified
Amendment Date:
Not specified
Year:
2026
Region / City:
Global
Topic:
Regulatory Compliance, Certification
Document Type:
Notification Form
Organization / Institution:
SGS
Author:
SGS
Target Audience:
Clients holding SGS certification
Period of Validity:
Ongoing
Approval Date:
N/A
Date of Changes:
N/A
Contextual Description:
A form for notifying SGS of any changes or regulatory actions affecting the validity or scope of certification for medical devices.
Jurisdiction:
Australia
Regulatory framework:
Therapeutic Goods Administration (TGA) Clinical Trial Notification scheme
Document type:
Regulatory notification form
Scope:
Clinical trials involving medicines, biologicals, medical and therapeutic devices
Trial phases covered:
Phase I–IV, bioavailability/bioequivalence, device studies
Subjects:
Human participants
Ethics oversight:
Human Research Ethics Committee (HREC)
Approving authority:
Relevant institutional authority
Geographic coverage:
Australian trial sites with optional international sites
Responsible party:
Lead Investigator
Fee responsibility:
Lead Investigator
Related institution:
La Trobe University
Submission requirement:
Completed form and ethics approval
Year:
N/A
Region / City:
N/A
Theme:
Grant funding, Federal assistance
Document Type:
Grant Award Notification
Organ / Institution:
DESE
Author:
N/A
Target Audience:
LEA (Local Education Agency), Sub-recipients of federal funds
Period of Validity:
N/A
Approval Date:
N/A
Modification Date:
N/A
Federal Award Date:
N/A
Grant Project Duration:
Start and end date based on grant type
Revised Grant Award Amount:
If applicable
Reimbursement Requests Close:
Date when sub-recipient can submit reimbursement requests
Final Expenditure Report Due:
Date for FER submission
Note:
Administrative Information
DESE UEI:
N/A
UGG (2 CFR 200):
N/A
EDGAR As Applicable (34 CFR):
N/A
DESE Request for Proposal:
N/A
Statutes Authority:
N/A
Program Title:
N/A
CFDA #:
N/A
Terms and Conditions of Award:
N/A
Special Notes:
N/A
Year:
2013
Region / City:
United States / Chicago
Subject:
Program Change Notification, Annual Attestation
Document Type:
Guidelines
Organization:
AHIMA
Author:
AHIMA
Target Audience:
Program Directors, Coordinators, Educational Institutions
Effective Period:
Ongoing
Approval Date:
N/A
Modification Date:
N/A
Year:
2021
Region / City:
European Union
Topic:
Cross-border marketing of EU AIFs
Document type:
Notification letter
Author:
European Commission
Target audience:
AIFMs, regulatory bodies, financial institutions
Period of validity:
Not specified
Approval date:
Not specified
Amendment date:
Not specified
Year:
2017
Region / City:
South Africa
Theme:
Insurance
Document Type:
Application Form
Author:
South African Reserve Bank (SARB)
Target Audience:
Insurance companies, Prudential Authority
Period of Validity:
Not specified
Approval Date:
Not specified
Date of Amendments:
Not specified
Agency:
United States Securities and Exchange Commission
Form number:
Form 25
Document type:
Regulatory filing form
Jurisdiction:
United States
Legal basis:
Securities Exchange Act of 1934
Applicable rules:
Rule 12d2-2 (17 CFR 240.12d2-2); Rule 19d-1 (17 CFR 240.19d-1)
OMB control number:
3235-0080
OMB expiration date:
March 31, 2021
Filing system:
EDGAR
Effective delisting period:
10 days after filing
Effective withdrawal of registration period:
90 days after filing
Revision identifier:
SEC 1654 (03-06)
Year:
2022
Region / City:
Washington, D.C.
Theme:
Late filing notification
Document type:
SEC form
Organization / Institution:
U.S. Securities and Exchange Commission
Author:
U.S. Securities and Exchange Commission
Target audience:
Public companies
Effective period:
February 28, 2022
Approval date:
June 19, 2019
Modification date:
None