№ lp_2_3_23856
File format: docx
Character count: 25930
File size: 47 KB
This document outlines the proposed disciplinary process for financial advisers, introducing a single disciplinary body and detailing the related sanctions, registration, and professional standards changes.
Year:
2020
Region / City:
Australia
Topic:
Financial advising, Disciplinary system
Document type:
Legislation Q&A
Organization / Institution:
Australian Government, ASIC
Author:
Australian Government, ASIC
Target audience:
Financial advisers, regulatory bodies
Period of validity:
From January 1, 2022 (subject to legislation)
Approval date:
9 December 2020
Amendment date:
Not specified
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Note:
Year
Topic:
Special Educational Needs and Disabilities
Document Type:
Request Form
Organization / Institution:
Cognus Ltd
Target Audience:
Parents, carers, educational staff
Note:
Year
Subject:
Investment Advisory Compliance
Document Type:
Annual Review Report
Target Audience:
Investment advisers, compliance officers
Period of Effect:
Calendar year
Year:
2026
Region / City:
Hertfordshire
Topic:
Religious Education
Document Type:
Newsletter
Organization / Institution:
Hertfordshire SACRE
Author:
Shammi Rahman
Target Audience:
Religious Education teachers and practitioners in Hertfordshire
Period of Validity:
Spring Term 2026
Approval Date:
February 2026
Date of Changes:
Not specified
Year:
2025
Region / city:
Cambridge
Theme:
Super-curriculars
Document type:
Webinar presentation
Organization / institution:
University of Cambridge
Authors:
Dr. Christine Nightingale, Dr. Jonathan Padley, Natalie Thompson, Amanda Watson
Target audience:
Teachers and advisers
Period of validity:
12th March 2025
Approval date:
Not specified
Modification date:
Not specified
Contextual description:
A webinar presentation discussing the importance of super-curricular activities in university applications, with a focus on Cambridge University’s admissions process.
Year:
2023
Region / City:
India
Topic:
Investment Advertising Regulations
Document Type:
Guidelines
Organization / Institution:
Securities and Exchange Board of India (SEBI), Bombay Stock Exchange (BSE)
Author:
SEBI
Target Audience:
Investment Advisers (IAs), Business Partners, Authorized Persons, Influencers
Validity Period:
Ongoing
Approval Date:
Not specified
Amendment Date:
Not specified
Note:
Year
Theme:
Advertising Regulations
Document Type:
FAQ
Organization / Institution:
BSE Limited
Target Audience:
Investment Advisers, Investors
Contextual Description:
A set of guidelines detailing the advertisement approval process for investment advisers under the BSE Code, including which advertisements require prior approval and the conditions attached.
Year:
not specified
Organization:
Competition and Markets Authority (CMA)
Document type:
Pro forma template / drafting note
Scope:
CMA investigations (including market investigations and merger inquiries)
Subject:
Disclosure room access undertakings, individual and firm obligations, disclosure restrictions under Enterprise Act 2002 and Competition Act 1998
Legal framework:
Enterprise Act 2002 (EA02), Competition Act 1998 (CA98)
Intended recipients:
External advisers and their firms retained by parties in CMA investigations
Purpose:
Provide standard terms and conditions for disclosure room access and undertakings
Status:
Draft template based on recent CMA practice (not a final legal instrument)
Year:
2016
Region / City:
Queensland
Topic:
Great Barrier Reef, Environmental Policy, Climate Change
Document Type:
Report
Organization / Institution:
Queensland Government
Author:
NCWQ Environment Adviser
Target Audience:
Environmental professionals, policy makers, researchers
Effective Period:
2016
Approval Date:
August 2016
Modification Date:
November 2016
Subject:
Books and records retention requirements for investment advisers
Legal Basis:
Rule 204-2 under the Advisers Act
Applicable Entities:
Investment advisers
Document Type:
Compliance checklist / regulatory records schedule
Categories:
Corporate Documents; Accounting Records; Trading and Account Management Records; Client Relationship Records; Marketing and Performance Records
Record Retention Periods:
Termination plus 3 years; 5 years (first 2 years on-site); 5 years after termination of contract; 5 years from last publication or dissemination
On-Site Requirement:
First 2 years on-site (where specified)
Referenced Forms:
Form ADV; Form CRS
Covered Materials:
Corporate governance records; financial and accounting books; trade memoranda; research files; client agreements; discretionary authority evidence; written communications; advertisements; complaint files
Year:
2024
Note:
Region / City
Topic:
WI enlargement process
Document type:
Guideline
Author:
Membership and Engagement
Target audience:
WI Advisers
Approval date:
November 2024
Amendment date:
March 2025
Year:
Not specified
Country:
United Kingdom
Region:
Greater Lincolnshire
Thematic area:
Education and business engagement
Document type:
Directory / network listing
Program:
Enterprise Adviser Network
Regions covered:
City of Lincoln; West Lindsey; North Kesteven; East Lindsey; South Kesteven; Boston; South Holland
Institutions involved:
Secondary schools and academies in Greater Lincolnshire
Participants:
Enterprise Advisers from businesses and organizations
Organizations represented:
Local authorities, private companies, education institutions, and industry organizations
Content structure:
Table listing regions, enterprise advisers with affiliated organizations, and assigned schools
Additional section:
Enterprise advisers awaiting match with a school
Year:
2023-2024
Region / City:
Massachusetts
Topic:
Disciplinary Disparities in Schools
Document Type:
Report
Organization:
Massachusetts Department of Elementary and Secondary Education
Author:
Massachusetts Department of Elementary and Secondary Education
Target Audience:
Educators, School Administrators, Policy Makers
Effective Period:
Winter 2023 – Winter 2026
Approval Date:
Winter 2023
Modification Date:
N/A
Year:
2020-21
Region / City:
United States
Topic:
Children with Disabilities (IDEA) Disciplinary Removals
Document Type:
Technical Guide
Organization / Institution:
U.S. Department of Education
Author:
Brandon Scott (Contracting Officer’s Representative)
Target Audience:
State Education Agencies (SEAs), Local Education Agencies (LEAs), Educational Data Administrators
Effective Period:
SY 2020-21
Approval Date:
April 2021
Date of Last Change:
April 2021
Note:
Year
Subject:
Employment / Disciplinary Action
Document Type:
Letter
Target Audience:
Employee
Context:
Formal letter addressed to an employee inviting them to a disciplinary meeting regarding potential misconduct, outlining the concerns and possible outcomes.
Year:
2022-2023
Region / City:
United States
Theme:
Children with Disabilities, IDEA, Disciplinary Removals
Document Type:
Technical Guide
Institution:
U.S. Department of Education
Author:
Brandon Scott
Target Audience:
State Education Agencies, Local Education Agencies, Special Education Professionals
Period of Effectiveness:
2022-2023 school year
Approval Date:
October 2022
Amendment Date:
February 2024
Document Control:
Public Domain
Document History:
Versions 1.0 to 19.1
Purpose:
To provide technical instructions for submitting data related to children with disabilities subjected to disciplinary removals under IDEA through EDPass
Context:
A technical guide for building files to report disciplinary removals of children with disabilities in accordance with IDEA.
Year:
2026
Region / City:
Massachusetts, Wakefield
Topic:
Medical Licenses, Disciplinary Actions
Document Type:
Consent Order
Organization:
Massachusetts Board of Registration in Medicine
Author:
Not specified
Target Audience:
Healthcare professionals, patients
Period of validity:
Not specified
Approval Date:
Not specified
Amendment Date:
Not specified
Context:
This document is a public notice issued by the Massachusetts Board of Registration in Medicine outlining disciplinary actions taken against two medical practitioners for failing to meet medical standards in patient care.
Year:
2020
Region / City:
Nottinghamshire
Theme:
School staff discipline
Document Type:
Procedure
Organization:
Nottinghamshire County Council
Author:
Nottinghamshire County Council HR Service
Target Audience:
School staff, governing bodies, school management
Period of Validity:
Ongoing
Approval Date:
September 2020
Date of Changes:
Not specified
Note:
Year
Subject:
Disciplinary measures, Staff conduct, Investigations
Document Type:
Administrative Instruction
Organization:
United Nations
Author:
Under-Secretary-General for Management
Target Audience:
United Nations staff members
Year:
Not specified
Region / City:
Not specified
Theme:
Employee Performance, Disciplinary Actions
Document Type:
Internal Policy Document
Organization / Institution:
Not specified
Author:
Not specified
Target Audience:
Employees, Supervisors, HR
Effective Period:
Not specified
Approval Date:
Not specified
Date of Modifications:
Not specified