№ lp_1_2_07265
File format: docx
Character count: 31841
File size: 119 KB
Compilation of regulatory requirements, declarations, resolutions, and supporting documents governing the authorization of stock brokers to act as mutual fund intermediaries through the ICEX-MF platform under SEBI and exchange guidelines.
Year:
2009–2010
Country:
India
Sector:
Financial markets
Subject:
Mutual fund distribution
Document type:
Regulatory checklist and application
Issuing organizations:
Indian Commodity Exchange Ltd.; Metropolitan Clearing Corporation of India Ltd.
Regulatory authorities referenced:
Securities and Exchange Board of India; Reserve Bank of India
Intended applicants:
Stock brokers; trading members; clearing members
Eligibility categories:
Individual; Partnership; Corporate
Platform:
ICEX-MF
Required certifications:
ARN; AMFI; NISM
Related circulars:
SEBI/IMD/CIR/No.11/183204/2009; CIR/IMD/DF/17/2010
Annexures included:
I–VII
Geographic scope:
India
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The product description is provided for reference. Actual content and formatting may differ slightly.
Year:
Not specified
Region / City:
Hong Kong
Topic:
Capital Markets, Securities, Regulatory Compliance
Document Type:
Template
Organization / Institution:
ASIFMA
Author:
Not specified
Target Audience:
Market participants in securities and futures sectors
Period of Validity:
Not specified
Approval Date:
Not specified
Date of Amendments:
Not specified
Year:
2018
Revision date:
11 June 2018
Jurisdiction:
United Kingdom
Document type:
Registration form and intermediary terms
Organisation:
Monmouthshire Building Society
Regulatory authority:
Financial Conduct Authority
Subject matter:
Mortgage intermediary registration and obligations
Intended users:
Mortgage intermediaries and advisers
Company types covered:
Sole trader, partnership, limited company, PLC
Authorisation status:
Appointed Representative or Directly Authorised
Payment method:
BACS credit
Payment subject:
Procuration fees
Relevant legislation:
Data Protection Act 1998; General Data Protection Regulation (EU) 2016/679; UK Money Laundering Regulations; UK Bribery Act 2010; Criminal Finances Act 2017
Document type:
Multi-jurisdictional Court Guide
Reference:
Ground Rules Hearings and Intermediary Program
Division:
Criminal Division
Reviewed by:
Deputy Chief Judge M Sexton
Authorised by:
Chief Judge Kidd
Version:
1.0
Date:
28/6/2018
Author:
Intermediary Pilot Program Multi-Jurisdictional Committee
Summary of changes:
Document created
Note:
Version
2.0
Year:
2018
Region / city:
Victoria, Australia
Topic:
Ground rules hearings, intermediary program, vulnerable witnesses
Organization:
Judicial College of Victoria
Audience:
Legal professionals, courts, intermediary practitioners
Period of validity:
2018–2023
Approval date:
28/6/2018
Amendment date:
28/7/2023
Note:
Year
Document Type:
Application Form
Organization / Institution:
Department for Digital, Culture, Media and Sport (DCMS)
Target Audience:
Organizations applying for grants
Year:
2023
Region / City:
Ireland
Subject:
Retail Intermediary Annual Return
Document Type:
FAQ
Organization:
Central Bank of Ireland
Target Audience:
Regulated firms
Effective Period:
Annual
Approval Date:
Not specified
Modification Date:
Not specified
Year:
2021
Region / City:
India
Subject:
Insurance Intermediary Registration
Document Type:
Application Form
Organization / Institution:
Insurance Regulatory Authority
Author:
INJETI SRINIVAS, Chairperson
Target Audience:
Insurance Intermediaries
Period of Action:
Not specified
Approval Date:
Not specified
Amendment Date:
Not specified
Context:
The document is an application form for seeking fresh or renewal registration of an insurance intermediary for establishing IIIO (Insurance Intermediary Office) in the form of a branch.
Year:
2024
Region / City:
St. Louis, MO
Topic:
Data Intermediary Services
Document Type:
Letter of Intent
Organization:
Community Innovation and Action Center (CIAC), University of Missouri - St. Louis
Author:
Paul Sorenson
Target Audience:
NNIP, stakeholders in data collaboration
Period of Validity:
2024 and ongoing
Approval Date:
July 5, 2024
Date of Changes:
N/A
Year:
2021
Jurisdiction:
International Financial Services Centres
Regulatory Authority:
International Financial Service Centres Authority
Regulation Reference:
Regulation 5(1) and 9(1)
Schedule:
Schedule VI
Form Number:
Form A
Document Type:
Application Form
Subject:
Grant of Fresh and Renewal Certificate of Registration for Insurance Intermediaries
Applicable Categories:
Direct Broker; Reinsurance Broker; Composite Broker; Third Party Administrator; Surveyor and Loss Assessor; Corporate Agent
Applicant Type:
Company, Partnership, LLP, Proprietor or Other Legal Entity
Required Attachments:
Memorandum and Articles of Association or Partnership Deed; Business Plan; Organization Chart; Audited Annual Accounts (Three Years); Supporting Documents
Financial Reporting Currency:
USD (in million)
Capital Requirements:
Authorized Capital; Issued Capital; Paid-up Capital; Free Reserves; Net Worth Certification
Disclosure Requirements:
Shareholding Details; Directors and Key Management Personnel; Infrastructure and IT Systems; Disputes and Economic Offences; Associate Company Interests
Fee Requirement:
Non-refundable Fee as Specified by the Authority
Undertaking:
Maintenance of Arm’s Length Relationship in Financial Matters
Application Scope:
Fresh Registration and Renewal of Registration
Year:
2026
Region / City:
Australia, New Zealand
Theme:
Service Innovation, Open Innovation, Digital Platforms
Document Type:
Research Article
Organization / Institution:
University of Technology Sydney, Macquarie University, University of Waikato, University of Newcastle
Author:
Krithika Randhawa, Ralf Wilden, Siggi Gudergan
Target Audience:
Researchers, Innovators, Service Firms
Period of Validity:
N/A
Approval Date:
N/A
Date of Modifications:
N/A
Year:
2021
Regulation:
International Financial Service Centres Authority (Insurance Intermediary) Regulation
Document type:
Application form
Authority:
International Financial Service Centres Authority
Purpose:
Grant or renewal of certificate of registration for insurance intermediaries
Categories:
Direct Broker, Reinsurance Broker, Composite Broker, Third Party Administrator, Surveyor and Loss Assessor, Corporate Agent
Applicant details required:
Name, address, contact information, principal officer details, organization structure, promoters/investors, directors/partners
Financial information:
Capital structure, net worth, deployment of resources, income, profit before tax, dividend
Supporting documents:
Business plan, organization chart, IT infrastructure details, experience in insurance services, auditor details, bank details, fee payment receipt, undertakings
Context:
Official application form for registration or renewal of insurance intermediary certification, including detailed requirements for organizational, financial, and operational disclosures.
Year:
2016
Region:
North Region, United Kingdom
Subject:
Medical Intermediary Service for Criminal Injuries Compensation Authority
Document Type:
Contract Letter
Authority / Institution:
Ministry of Justice
Author / Representative:
Jim Morrice, Head of Finance
Contractor:
Not specified
Commencement Date:
March 2016
Expiration Date:
March 2017
Contract Duration:
1 year with option to extend for 2 additional years
Included Documents:
Terms and Conditions of Contract, Annexed Schedules
Service Levels Reference:
Schedules G, GA, H, J, N
Year:
2023
Region / City:
Miami, FL
Topic:
Emergency management, mutual aid agreements
Document Type:
Instructional guide
Author:
Miami-Dade County Department of Emergency Management
Target Audience:
Facilities submitting Mutual Aid Agreements
Period of validity:
CEMP year
Approval Date:
Not specified
Date of changes:
Not specified
Year:
2026
Region / city:
Geneva, Switzerland
Subject:
Confidentiality agreement for shared information between parties regarding research on Zoliflodacin and its effects on human testicular function
Document type:
Agreement
Organization / institution:
GARDP FOUNDATION
Author:
Not specified
Target audience:
Research institutes, universities, pharmaceutical companies, consultants, and relevant professionals in the field
Validity period:
Not specified
Approval date:
January 9th, 2026
Amendment date:
Not specified
Year:
2025
Region / city:
N/A
Subject:
Investment Options and Mutual Funds
Document type:
Academic Course Material
Institution:
SMU
Author:
N/A
Target audience:
Students
Period of validity:
July-August 2025
Approval date:
N/A
Date of modifications:
N/A
Note:
Year
Organization / Institution:
Indiana University
Year:
2023
Region / City:
United Kingdom
Subject:
Maritime Labour Convention Compliance
Document Type:
Application Form
Organization:
United Kingdom Mutual Steam Ship Assurance Association Ltd or UK P&I Club N.V.
Author:
Not specified
Target Audience:
Shipowners, maritime companies
Period of Validity:
From 20 February 2023 to 20 February 2024
Approval Date:
Not specified
Date of Changes:
Not specified
Year:
2023
Region / City:
Santa Cruz
Subject:
Confidentiality Agreement
Document Type:
Agreement
Institution:
The Regents of the University of California
Author:
Not specified
Target Audience:
UC representatives and suppliers
Period of Action:
2023-2025
Approval Date:
Not specified
Modification Date:
Not specified
Year:
2025
Region / City:
Geneva
Topic:
Automotive Life Cycle Assessment (A-LCA)
Document type:
Proposal
Organization / Institution:
Economic Commission for Europe
Author:
Informal Working Group on Automotive Life Cycle Assessment
Target audience:
Contracting Parties, automotive manufacturers
Period of validity:
Not specified
Approval date:
Not specified
Amendment date:
Not specified
Year:
2025
Region / City:
Geneva
Topic:
Automotive Life Cycle Assessment (A-LCA)
Document Type:
Proposal
Organization:
United Nations Economic Commission for Europe (ECE), Inland Transport Committee
Author:
Informal Working Group on Automotive Life Cycle Assessment (A-LCA)
Target Audience:
Contracting Parties, automotive manufacturers
Period of Application:
Not specified
Approval Date:
Not specified
Date of Amendments:
Not specified
Context:
The document presents a proposal for a new Mutual Resolution concerning Automotive Life Cycle Assessment, aimed at establishing internationally harmonized guidelines for assessing GHG emissions from automotive products.
Year:
2023
Region / City:
Navi Mumbai
Topic:
Mutual Fund Distributor Registration
Document Type:
Checklist
Institution:
Indian Commodity Exchange Ltd. (ICEX)
Author:
ICEX Membership Department
Target Audience:
Individuals, Partnerships, Corporates applying for Mutual Fund Distributor Registration
Validity Period:
Ongoing
Approval Date:
N/A
Revision Date:
N/A