№ lp_2_3_39008
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Character count: 4689
File size: 18 KB
Step-by-step regulatory procedures for companies to transfer unclaimed or unpaid amounts and shares to the Investor Education and Protection Fund (IEPF), file the required forms, and appoint responsible officers.
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
Price: 8 / 10 USD
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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:
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.
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)
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
Year:
2025
Region / City:
Salt Lake City, Utah
Subject:
Jazz Dance
Document Type:
Course Syllabus
Institution:
University of Utah
Instructor:
Ruger Memmott
Target Audience:
Students enrolled in DANC 1210 and BALLE 2380
Period of Action:
Fall Semester 2025
Approval Date:
Not specified
Modification Date:
Not specified
Year:
2021
Region / City:
National
Field:
Medical
Document Type:
Assessment Forms
Organization:
National Accreditation Board for Testing and Calibration Laboratories (NABL)
Author:
NA
Target Audience:
Laboratories, Assessor Teams, Medical Imaging
Period of Validity:
Not specified
Date of Approval:
16-Feb-2021
Amendment Date:
13-Jul-2023
The document outlines assessment forms and checklists used by the NABL for the accreditation of laboratories in accordance with ISO 15189:
2012 standards, including various schedules and witness reports for medical testing.
Year:
2025
Agency:
United States Social Security Administration
Form Numbers:
SSA-7161-OCR-SM, SSA-7162-OCR-SM
Type:
Report / Information Collection
Legal Basis:
Social Security Act Sections 203(c), 203(g), 205(a), 205(j), 1631(e)(1)(A); Strengthening Protections for Social Security Beneficiaries Act of 2018
Target Audience:
U.S. citizens and noncitizens receiving benefits abroad; representative payees
Collection Frequency:
Annual or biennial depending on circumstances
Purpose:
Verification of eligibility, reporting events affecting benefits, annual accounting for representative payees
OMB Control Number:
0960-0049
Psychological Considerations:
Potential respondent perception of intrusiveness
Delivery Method:
Mail, telephone verification
End of Reporting Period:
December 31 annually
Estimated Population:
Approximately 841,600 beneficiaries living abroad, 25,550 with representative payees
Annual Payments:
$677 million monthly ($8.1 billion annually)
Year:
2013
Region / City:
United States
Topic:
Lease Proposal Evaluation
Document Type:
Administrative Statement
Agency / Organization:
General Services Administration (GSA)
Author:
General Services Administration
Target Audience:
Federal Agencies, Lessors
Period of Validity:
Ongoing
Approval Date:
January 3, 2013
Amendment Date:
N/A
Note:
Year
Topic:
Navy Child and Youth Programs, Registration, Medical Requirements
Document Type:
Supporting Statement
Organization / Institution:
U.S. Navy
Target Audience:
Eligible patrons (active duty military, Coast Guard, DoD employees, retirees, contractors, etc.)