Compliance Calendar ®’s Post

“In an effort to boost investor protection, the CIRO / OCRI is revisiting a proposal to pay some of the money collected in enforcement proceedings to harmed investors. Shortly after CIRO was created in January 2023, it launched a consultation on a policy for distributing funds, collected under disgorgement orders imposed against dealers and reps, to investors who were harmed by their misconduct. Currently, the self-regulatory organization (SRO) can order disgorgement — a mechanism intended to deprive securities law violators of the proceeds of their misdeeds; however, no formal process exists for returning any of that money to harmed investors.” via James Langton for Investment Executive https://ow.ly/Qiu550TUoge #CAC #Regulator

🌟 **𝐖𝐡𝐚𝐭 𝐇𝐚𝐩𝐩𝐞𝐧𝐬 𝐈𝐟 𝐘𝐨𝐮𝐫 𝐍𝐚𝐦𝐞 𝐃𝐨𝐞𝐬𝐧'𝐭 𝐌𝐚𝐭𝐜𝐡 𝐘𝐨𝐮𝐫 𝐒𝐡𝐚𝐫𝐞 𝐂𝐞𝐫𝐭𝐢𝐟𝐢𝐜𝐚𝐭𝐞𝐬?** 🌟 If your name doesn’t match with your share certificates, you could face several issues, including: 🔍 **Delayed Transactions:** Your ability to sell or transfer shares may be hindered, leading to potential financial losses. 📝 **Claim Rejections:** Unmatched names can result in the rejection of claims for unpaid or unclaimed dividends, leaving your money stuck. ⚠️ **Legal Complications:** You might face difficulties when claiming your assets or during succession processes. 💡 **What You Can Do:** 1. **Verify Your Records:** Always check that your name on share certificates matches your official ID. 2. **Seek Professional Help:** If there’s a discrepancy, reach out to experts like **Share Claimers** ✅ for assistance in recovering your assets! 👉 Don't let mismatched names hold you back! Visit us at www.shareclaimers.com or call us at +91 6379474199 for expert guidance on unclaimed shares, lost certificates, and more! #ShareClaimers #UnclaimedShares #ShareCertificates #FinancialSecurity #InvestmentTips #IEPF #SuccessionCertificate #Demat #TransmissionOfShares #ClaimYourAssets #FinancialLiteracy #MoneyMatters #InvestSmart #ShareMarket #Dividends #InvestmentAdvice 📈💰✨

Do you know the difference between an investment advisor and a stockbroker? An investment advisor is, by law, a “fiduciary.” This means that he or she is subject to a statutory duty to act in his or her clients’ best interests.   A stockbroker, in contrast, is under no such legal duty. All that is required of them is that what they sell be "suitable” for the buyer who, in the rules governing the sales activity of stockbrokers, is referred to as a “customer,” not a “client.” It’s an important difference to understand https://lnkd.in/gbp-_-p7 #wealthtech #financialindependence #fintech #mutualfunds #401k #retirementplanning #ira #individualretirementaccount #etfs #rita #dtc #prorrt #rita

Do you know the difference between an investment advisor and a stockbroker? An investment advisor is, by law, a “fiduciary.” This means that he or she is subject to a statutory duty to act in his or her clients’ best interests.   A stockbroker, in contrast, is under no such legal duty. All that is required of them is that what they sell be "suitable” for the buyer who, in the rules governing the sales activity of stockbrokers, is referred to as a “customer,” not a “client.” It’s an important difference to understand https://lnkd.in/gbp-_-p7 #wealthtech #financialindependence #fintech #mutualfunds #401k #retirementplanning #ira #individualretirementaccount #etfs #rita #dtc #prorrt #rita

Do you know the difference between an investment advisor and a stockbroker? An investment advisor is, by law, a “fiduciary.” This means that he or she is subject to a statutory duty to act in his or her clients’ best interests.   A stockbroker, in contrast, is under no such legal duty. All that is required of them is that what they sell be "suitable” for the buyer who, in the rules governing the sales activity of stockbrokers, is referred to as a “customer,” not a “client.” It’s an important difference to understand https://lnkd.in/gbp-_-p7 #wealthtech #financialindependence #fintech #mutualfunds #401k #retirementplanning #ira #individualretirementaccount #etfs #rita #dtc #prorrt #rita

#SEBI has streamlined the recovery of shares from #IEPF by allowing shareholders to submit key documents—like PAN, KYC, and banking details—to confirm identity and start the process. Companies and RTAs now follow clear guidelines, with digital submissions ensuring security and efficiency. What could be the cases under Recovery of Shares? ✔️Transfer of Shares Post Demise of Original Shareholder ✔️Transfer of Physical Share Certificates ✔️Retrieval of Lost Share Certificates ✔️Issuance of Duplicate Shares ✔️Claiming Unclaimed Shares from IEPF ✔️Claiming Unpaid Dividend from IEPF ✔️Liaising with Registrar and Transfer Agent (RTA) for Share Transfers To know the process and easy steps,here to go: https://lnkd.in/gWAfQuTM #sharerecovery #iepf #sharecertificates #demat #rta #listed #shares #unclained #unpaid #dividends #transfer #transmissions #shareholder #wealth #assets #compliance #process #compliancecalendar

Do you know the difference between an investment advisor and a stockbroker? An investment advisor is, by law, a “fiduciary.” This means that he or she is subject to a statutory duty to act in his or her clients’ best interests.   A stockbroker, in contrast, is under no such legal duty. All that is required of them is that what they sell be "suitable” for the buyer who, in the rules governing the sales activity of stockbrokers, is referred to as a “customer,” not a “client.” It’s an important difference to understand https://lnkd.in/gbp-_-p7 #wealthtech #financialindependence #fintech #mutualfunds #401k #retirementplanning #ira #individualretirementaccount #etfs #rita #dtc #prorrt #rita

𝙃𝙖𝙫𝙚 𝙔𝙤𝙪 𝙀𝙫𝙚𝙧 𝙇𝙚𝙛𝙩 𝙔𝙤𝙪𝙧 𝘿𝙞𝙫𝙞𝙙𝙚𝙣𝙙𝙨 𝙐𝙣𝙘𝙡𝙖𝙞𝙢𝙚𝙙? What's the reason behind your unclaimed dividends? Select the option that applies to you: 1. 🏠 Change in Address 2. 📄 Lost or Misplaced Share Certificates 3. 🏦 Non-Updation of Bank Details 4. 💔 Death of the Original Shareholder 5. 📝 Non-KYC of Applicants Let us know your experience, and if you're facing issues, Compliance Calendar ® can guide you through the process of recovering your unclaimed dividends! Learn More About the #IEPF Share Recovery Process Here https://lnkd.in/g72fd8sv #iepf #unclaimedshare #demat #share #sharecertificate #mca #rta #kyc #dp #listedcompany #sharerecovery #unclaimed #shareholder #compliancecalendar

Do you know the difference between an investment advisor and a stockbroker? An investment advisor is, by law, a “fiduciary.” This means that he or she is subject to a statutory duty to act in his or her clients’ best interests.   A stockbroker, in contrast, is under no such legal duty. All that is required of them is that what they sell be "suitable” for the buyer who, in the rules governing the sales activity of stockbrokers, is referred to as a “customer,” not a “client.” It’s an important difference to understand https://lnkd.in/gbp-_-p7 #wealthtech #financialindependence #fintech #mutualfunds #401k #retirementplanning #ira #individualretirementaccount #etfs #rita #dtc #prorrt #rita

The SEC Enforcement division is suing firms who are acting as an unregistered broker dealer in the penny stock market. Convertible debt is killing microcap companies. The SEC is taking action and winning. #smallcapstocks #microcap #publiccompanies