№ files_lp_3_process_7_064314
File format: docx
Character count: 1280
File size: 22 KB
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
Price: 8 / 10 USD
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The product description is provided for reference. Actual content and formatting may differ slightly.
Note:
Year
Subject:
Public Deposits, Financial Institutions
Document Type:
Form
Organization / Institution:
Chief Financial Officer, State of Florida
Target Audience:
Qualified Public Depositories
Note:
Year
Topic:
Tender Process
Document Type:
Tender Invitation
Organ / Institution:
New Brunswick Department of Transportation and Infrastructure
Target Audience:
Contractors
Year:
1989
Region / City:
_________ Township, _________ County
Subject:
Investment policy and financial depository designation for township funds
Document type:
Sample resolution
Institution / Organization:
Michigan Township Association (MTA)
Author:
MTA
Target audience:
Township boards, treasurers, financial institutions
Period of validity:
Ongoing
Date of approval:
Not specified
Date of amendments:
Not specified
Context:
A sample resolution for townships to designate financial institutions and investment policies for township funds, including provisions for treasurer’s authority and investment instruments.
Year:
2026
Region / City:
Florida, USA
Subject:
Public Deposits Compliance and Contingent Liability
Document Type:
Board Resolution
Organization / Institution:
Qualified Public Depository
Author:
Official Custodian of Records
Target Audience:
Chief Financial Officer, State of Florida
Effective Period:
Until replaced by updated resolution or expiration of contingent liability
Approval Date:
[date of board meeting]
Legal References:
Sections 280.07 and 280.041, Florida Statutes; Rule 69C-2.028, Florida Administrative Code
Year:
2016
Region / City:
Houston, Texas
Theme:
Bank Depository Services
Document Type:
Request for Proposal (RFP)
Issuing Organization:
Houston Community College System
Author:
Procurement Operations Department
Target Audience:
Qualified banking institutions
Period of Validity:
3 years, with options for two 1-year renewals
Approval Date:
August 5, 2016
Amendment Date:
None specified
Institution:
Federal Reserve Bank of Richmond
Document Title:
Borrower-in-Custody (BIC) of Collateral Certification
Document Type:
Certification Form
Program:
Borrower-in-Custody (BIC) Collateral Program
Sector:
Banking and Financial Regulation
Subject:
Collateral Pledging and Loan Documentation
Participating Entity Type:
Depository Institution Participants
Collateral Categories:
Agricultural Loans, Commercial Loans, Commercial Real Estate Loans, Construction Loans, Residential Mortgages, Consumer Loans, Credit Card Receivables, Student Loans, Municipal Obligations, Raw Land Loans, Manufactured or Mobile Home Loans
Key Information Required:
Institution Identification, Contact Details, Loan Types Pledged, Promissory Note Documentation Form, Participation and Syndication Loan Details, Internal Risk Rating System, Audit Review Information
Documentation Requirements:
Wet-ink Signed Original Promissory Notes and Loan Documentation
Compliance Area:
Collateral Eligibility and Documentation Standards
Related Institutions:
Federal Home Loan Banks, Corporate Credit Unions
Review Requirement:
Internal Audit Review of BIC Program Participation
Year:
2019
Region / City:
Midlothian, Texas
Theme:
Banking Services
Document Type:
Contract
Organization / Institution:
City of Midlothian, Texas
Author:
Not specified
Target Audience:
Authorized representatives of the City and the Bank
Effective Period:
2019 - [end date]
Approval Date:
Not specified
Amendment Date:
Not specified
Year:
2026
Organization:
International Trading System Central Security Depository Ltd
Document Type:
Application / Acceptance Form
Purpose:
Acceptance of Terms of Business and appointment of agent for legal service
Applicant Details:
Full Name, Short Company Name, Business Identification Number, Place of Incorporation, Date of Registration, State Registration Number, License Number, License Issue Date, Home Regulator Name and Jurisdiction, Legal Address, Actual Address, Contact Person, Email, Phone Number, BIC, EDMS Code
Account Details:
Type of Account, Account Classification, Corporate Actions Bank Details, TCA Details, Beneficiary Bank and IBAN, SWIFT Code, Cbe, Additional Information
Jurisdiction:
AIFC Court, Republic of Kazakhstan
Signature:
Required
Note:
Date
Subject:
Business Agreement
Document Type:
Application
Organization / Institution:
International Trading System Central Security Depository Ltd
Author:
[Not specified]
Target audience:
Applicants seeking to join the trading system
Period of validity:
Ongoing
Approval date:
[Not specified]
Amendment date:
[Not specified]
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:
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