Collective Investment Schemes
|
|
- Jody Potter
- 5 years ago
- Views:
Transcription
1 Collective Investment Schemes COLL TP 1 Extra time provisions Existing schemes electing to comply with COLL 1 Each and every R Expired rule in COLL 1A Each and every R The rules in COLL do not apply to any From Februrule in COLL relevant party in relation to an au- February ary 2007 thorised fund where the winding up of 2007 the fund has commenced before 12 February 2007, provided that each relevant party shall continue to comply with the provisions of CIS as if they still applied to them. 2 Each and every G Expired rule in COLL 3 Each and every R rule in COLL Expired 4 Each and every G Expired rule in COLL 5 COLL R to R Expired (Restrictions of business for UCITS management companies) 6 COLL R to G Expired (Restrictions of business for UCITS management companies) 7 COLL , R Expired and (Committees and delegation). Release 31 Sep COLL TP 1/1
2 8 COLL 6.2 (dealing); R COLL 6.3 (Valuation and pricing); (Valuation) and 16 (Table: contents of the prospectus) Expired 9 COLL 6.2 (dealing); G Expired COLL 6.3 (Valuation and pricing); COLL R (Valuation) and COLL R 16 (Table: contents of the prospectus) 10 FEES R R Expired Definition of relevant party 11 COLL R Expired 12 COLL R R Expired 13 COLL R R Expired 14 Amendments to R (1) [expired] COLL made by the Collective Investment Schemes Sourcebook (UC- ITS Eligible Assets Directive and Other Amendments) Instrument 2008 [expired] (3) [expired] 15 Amendments to R Expired COLL R made by the Collective Investment Schemes COLL TP 1/2 Release 31 Sep 2018
3 Sourcebook (Amendment No 5) Instrument COLL 4.5 and COLL R Expired R to COLL 8.3.5E R 17 COLL 4.5.5R (1)(a)(iv) R Expired and COLL 4.5.9R (9A) [Note: article 118 of the UCITS Directive] 18 Each and every R Expired rule in COLL that relates to key investor information 19 COLL R R Expired COLL R COLL R 20 G Expired COLL R COLL R COLL R 21 COLL 4.2.5R (3)(qa) R Expired 22 COLL 4.6.8R(8)(d) R Expired 23 COLL R and R Expired COLL R 24 COLL 8.3.4R R Expired 25 COLL 3 to COLL 8 R Expired 26 COLL 3 to COLL 8 D Expired 27 COLL 3 to COLL 8 G Expired 28 COLL R(3)(ca) R Expired 29 Amendments to R [expired] each and every rule in COLL made by the Collective Investment Schemes (Accounting Amend- Release 31 Sep COLL TP 1/3
4 ments) (No 2) Instrument Amendments to R (1) [expired] each and every rule in COLL made [expired] by the Collective (3) The authorised fund manager must 1 March 1 March Investment make a record of that election and re until Schemes (Acdate tain it for a period of six years from the years from counting Amendthe it takes effect. the date ments) (No 2) Inelection relevant strument 2015 takes place 31 COLL 4.2.5R(8)(f), R [expired] (g) and (h), and COLL 4.2.5R(28) 32 COLL 4.2.5R(8)(f) R (1) The authorised fund manager of a From and (g)(i) and (ii) non-ucits retail scheme need not, for March 2016 March any prospectus issued before 18 March until , comply with COLL 4.2.5R(8)(f), (g)(i) March 2017 and (ii). 33 COLL 4.5.7R(7) R [expired] The prospectus must, however, contain a description of the depositary s principal business activity. 34 COLL 4.7.2R(a) R (1) Paragraph applies to any key in- From and (6A) vestor information document drawn up March 2016 March by an authorised fund manager before until March March 2017 The authorised fund manager need not amend the key investor information document until it is revised as a result of a subsequent revision of the key investor information falling after 18 March 2016, and only if the information required by COLL 4.7.2R(a) and (6A) is available to the authorised fund manager at the time of that revision. COLL TP 1/4 Release 31 Sep 2018
5 35 The changes set R The changes to the COLL provisions in 18 March 18 out in Annex F of column do not apply to an EEA UCITS 2016 until March the UCITS V Direct- management company in respect of a the earlier 2016 ive Instrument UCITS scheme managed by it and the pro- of: 2016 to COLL visions continue to apply as they were in 6.6.4R and (7), force at 17 March (1) the date of applica- COLL 6 Annex 1R and tion of the COLL R(1) UCITS level 2 regulation; and the date the EEA UC- ITS management company enters into a depositary agreement in respect of the scheme that is compliant with the terms of the UCITS level 2 regulation 36 COLL 6.6A.8R R A management company may continue From to retain a depositary that does not March 2016 March meet the requirements in COLL 6.6A.8R if until the depositary was appointed before 18 March 2018 March COLL 6.6B.8R and A depositary that does not meet the re- From COLL 6.6B.11R quirements in COLL 6.6B.8R and COLL March 2016 March 6.6B.11R may continue to act as deposit- until ary of a UCITS scheme if it was ap- March 2018 pointed before 18 March COLL 4.2.5AG G An authorised fund manager of a UCITS From Sepscheme or a non-ucits retail scheme September tember does not need to comply with the 2016 until 2016 sions of the Securities Financing Transac- 12 July tions Regulation referred to in COLL AG for: (1)a sub-fund that was constituted before 12 January 2016 if the scheme is an umbrella; and a scheme that was constituted before 12 January 2016, if the scheme is not an umbrella. Release 31 Sep COLL TP 1/5
6 [Note: article 33(c) of the Securities Financing Transactions Regulation] 39 COLL 8.3.4AG G An authorised fund manager of a quali- From Sepfied investor scheme does not need to September tember comply with the provisions of the Securit until 2016 ies Financing Transactions Regulation re- 12 July ferred to in COLL 8.3.4AG for: 2017 (1)a sub-fund that was constituted before 12 January 2016 if the scheme is an umbrella; and a scheme that was constituted before 12 January 2016, if the scheme is not an umbrella. [Note: article 33(c) of the Securities Financing Transactions Regulation] 40 COLL 3.2.6R(8) and R An authorised fund manager is not re- From 1 Oc- From 1 COLL R(3)(d) quired to update existing statements in tober 2016 October the instrument constituting the fund con- to 30 Sep cerning use of the derogation at COLL tember R(3) due to the amendments to the 2019 following provisions by the Collective Investment Schemes Sourcebook (Amendment No 9) Instrument 2016 until it is updated for other purposes: (a) COLL 3.2.6R(8) and (b) COLL R (3)(d). 41 COLL 3.2.6R(15) R An authorised fund manager is not re- From 1 Oc- From 1 quired to update the instrument consti- tober 2016 October tuting the fund due to the amendment to 30 Sep to COLL 3.2.6R(15) until it is updated for tember other purposes COLL 4.2.5R(3)(i) R An authorised fund manager is not re- From 1 Oc- From 1 and quired to update existing statements in tober 2016 October COLL R(3)(d). the prospectus concerning use of the de- to 30 Sep rogation under COLL R(3) due to the tember amendments to the following provisions 2017 by the Collective Investment Schemes Sourcebook (Amendment No 9) Instrument 2016 until it is updated for other purposes: (a) COLL 4.2.5R(3)(i) (subject to COLL TP1.1 (43)) and (b) COLL R(3)(d). COLL TP 1/6 Release 31 Sep 2018
7 43 COLL 4.2.5R(3)(i), R An authorised fund manager of a non- From 1 Oc- From 1 COLL 5.6.7R(1), COLL UCITS retail scheme is not required to tober 2016 October 5.6.8R, and COLL comply with the amendments to the to 30 Sep R rules in column in relation to govern- tember ment and public securities made by the 2017 Collective Investment Schemes Sourcebook (Amendment No 9) Instrument COLL 4.2.2R, COLL R An authorised fund manager is not re- From 1 Oc- From R, and COLL quired to update the prospectus due to tober 2016 October 4.2.6G. the amendments to the following to 30 Sep sions by the Collective Investment tember Schemes Sourcebook (Amendment No 9) 2017 Instrument 2016 until it is updated for other purposes: (a) COLL 4.2.2R(aa) (b) COLL 4.2.5R(aa); (c) COLL 4.2.5R(2B)(b); (d) COLL 4.2.5R(b); (e) COLL 4.2.5R(16)(b)(v); (f) COLL 4.2.5R(18)(b)(i); (g) COLL 4.2.5R(19); (h) COLL 4.2.5R(20); and (i) COLL 4.2.6G(7)(a). 45 COLL 8.3.2R and R An authorised fund manager is not re- From 1 Oc- From 1 COLL 8.3.4R quired to update the prospectus due to tober 2016 October the amendments to the following to 30 Sep sions by the Collective Investment tember Schemes Sourcebook (Amendment No 9) 2017 Instrument 2016 until it is updated for other purposes: (a) COLL 8.3.2R(1A); (b) COLL 8.3.4R(1A); (c) COLL 8.3.4R(14)(3); and (d) COLL 8.3.4R(17). 46 The rules and R An authorised fund manager of a non- From 1 Jan- 1 Januguidance in COLL UCITS retail scheme and an ICVC that is a uary 2018 ary 2018 that relate to a non-ucits retail scheme may comply until 19 NURS-KII with the provisions in column using a February document. key investor information document (as 2018 modified by a general direction from the FCA) created before 1 January 2018 if it: (1) had dispensation from the FCA through a modification by consent to market units of the non-ucits retail Release 31 Sep COLL TP 1/7
8 scheme using that document until 1 January 2018; and decides to draw up a NURS-KII document, instead of a key information document, in accordance with COLL 4.7 after 1 January COLL 4.3.4R; COLL R A new type of payment out of scheme From 3 Jan- 3 Janu R; COLL property, which is introduced by a firm uary 2018 ary R(1) and to facilitate the operation of a research until 3 Janupayment account under COBS 2.3B.3R, ary 2020 does not constitute a fundamental change under COLL 4.3.4R or COLL 8.3.6R(1) requiring prior approval by meeting. Such a change will however constitute a significant change under COLL 4.3.6R and COLL 8.3.6R requiring pre-event notification. Amendments to COLL made by the Money Market Funds Regulation Instrument Each and every R A scheme which satisfies the conditions From July rule in COLL in either COLL 5.9.3R or COLL 5.9.5R imme- July 2018 to 2018 amended or de- diately before 21 July 2018, and in re- 21 March leted by the spect of which an application for au Money Market thorisation as a regulated money market Funds Regulation Instrument 2018 fund needs to be submitted by 21 January 2019 in accordance with article 44 of the Money Market Funds Regulation, shall continue to comply with the provisions of the COLL sourcebook that apply to it, or in relation to it, as at 20 July 2018 until such time as it is a regulated money market fund. COLL TP 1/8 Release 31 Sep 2018
Collective Investment Schemes. Chapter 14. Charity authorised investment funds
Collective Investment Schemes Chapter Charity authorised investment funds Section.1 : Introduction.1 Introduction.1.1 Application... This chapter applies to: (1) an authorised fund manager of a charity
More informationDirection. 5. In the table below, underlining indicates new text and striking through indicates deleted text.
Direction To: Host Capital Ltd (the firm ) Ref: 2778279 Of: 73 New Bond Street London W1S 1RS Date: 30 June 2016 Handbook Versions as in force at the date of this Direction Power 1. This Direction is given
More informationDefinitions for these transitional provisions, additional to those in the Glossary, are provided at paragraph 16 of the table.
Supervision TP 1 Definitions for these transitional provisions, additional to those in the Glossary, are provided at paragraph 16 of the table. 1 3.3.2 R (1) R Auditors From com- Commencement A firm will
More informationCollective Investment Schemes. Chapter 12. Management company and product passports under the UCITS Directive
Collective Investment Schemes Chapter Management company and product passports under the UCITS Directive Section.1 : Introduction.1 Introduction.1.1 Application (1) COLL.1 (Introduction) - COLL.3 (EEA
More informationDisclosure Guidance and Transparency Rules sourcebook
DTR Disclosure and transparency rules Disclosure Guidance and Transparency Rules sourcebook DTR TP 1 Disclosure and transparency rules DTR Sourcebook Transitional Provisions (2) Material to (5) Trans-
More informationMONEY MARKET FUNDS INSTRUMENT 2011
MONEY MARKET FUNDS INSTRUMENT 2011 Powers exercised A. The Financial Services Authority makes this instrument in the exercise of the powers and related provisions in or under: (1) the following sections
More informationMONEY MARKET FUNDS REGULATION INSTRUMENT 2018
Powers exercised MONEY MARKET FUNDS REGULATION INSTRUMENT 2018 A. The Financial Conduct Authority makes this instrument in the exercise of the following powers and related provisions in or under: (1) the
More informationThe Collective Investment Scheme Information Guide. Chapter 5A. The COLL sourcebook
The Collective Investment Scheme Information uide Chapter The COLL .1 Introduction.1.1 (1) COLL is a specialist that sits in Block 6 (Specialist Sourcebooks) of the FCA Handbook. It provides the detailed
More informationCollective Investment Schemes. Chapter 6. Operating duties and responsibilities
Collective Investment Schemes Chapter Operating duties and COLL : Operating duties and Section.5 : Appointment and replacement.5 Appointment and replacement of the authorised fund manager and the.5.1 Application
More informationCollective Investment Schemes. Chapter 11. Master-feeder arrangements under the UCITS Directive
Collective Investment Schemes Chapter Master-feeder arrangements under the UCITS COLL : Master-feeder.6 Winding up, merger and division of master UCITS.6.1 G Explanation (1) Section 258A(1) and (2) and
More informationFees Manual. Chapter 4. Periodic fees
Fees Manual Chapter Periodic fees FEES : Periodic fees.2 Obligation to pay periodic fees.2.1 eneral... A person shown in column (1) of the table in FEES.2.11 as the relevant fee payer must pay each periodic
More informationCollective Investment Schemes
Collective Investment Schemes COLL Contents Collective Investment Schemes COLL 1 Introduction 1.1 Applications and purpose 1.2 Types of authorised fund COLL 2 Authorised fund applications 2.1 Authorised
More informationFees Manual. Chapter 4. Periodic fees
Fees Manual Chapter Periodic fees FEES : Periodic fees Section.1 : Introduction.1 Introduction.1.1 R Application... This chapter applies to every person set out in FEES 1.1.2R (2)..1.1A R A reference to
More informationCollective Investment Schemes. Chapter 4. Investor Relations
Collective Investment Schemes Chapter Investor elations COLL : Investor elations Section.5 : eports and accounts.5 eports and accounts.5.1 Application The rules and guidance in this section apply to an
More informationCOLLECTIVE INVESTMENT SCHEMES SOURCEBOOK (WINDING UP AND SUB-FUND TERMINATION AND MISCELLANEOUS AMENDMENTS) INSTRUMENT 2011
COLLECTIVE INVESTMENT SCHEMES SOURCEBOOK (WINDING UP AND SUB-FUND TERMINATION AND MISCELLANEOUS AMENDMENTS) INSTRUMENT 2011 Powers exercised A. The Financial Services Authority makes this instrument in
More informationInvestment Funds sourcebook
Investment Funds sourcebook FUND Contents Investment Funds sourcebook FUND 1 Introduction 1.1 Application and purpose 1.2 Structure of the Investment Funds sourcebook 1.3 Types of fund manager 1.4 AIFM
More informationCOLLECTIVE INVESTMENT SCHEMES (SINGLE PRICING AND DILUTION) INSTRUMENT 2002
FSA 2002/47 COLLECTIVE INVESTMENT SCHEMES (SINGLE PRICING AND DILUTION) INSTRUMENT 2002 Powers exercised A. The Financial Services Authority amends the Collective Investment Schemes sourcebook and related
More informationCollective Investment Schemes. Chapter 5. Investment and borrowing powers
Collective Investment Schemes Chapter Investment and borrowing powers . Cash, borrowing, lending and other provisions..1 Application (1) Subject to (2), this section applies to an ICVC, an ACD, an authorised
More informationGeneral Prudential sourcebook. Chapter 3. Cross sector groups
eneral Prudential sourcebook Chapter Cross sector groups ENPU : Cross sector groups Section.1 : Application.1 Application.1.1 (1) Unless otherwise stated, ENPU.1 applies to every firm that is a member
More informationInvestment Funds sourcebook. Chapter 3. Requirements for alternative investment fund managers
Investment Funds sourcebook Chapter equirements for alternative investment fund FUND : equirements for.2 Investor information.2.1 Application This section applies to a full-scope UK AIFM of: (1) a UK AIF;
More informationCollective Investment Schemes. Chapter 9. Recognised schemes
Collective Investment Schemes Chapter ecognised schemes COLL : ecognised schemes Section.1 : Application and general information.1 Application and general information.1.1 Application This chapter applies
More informationHANDBOOK ADMINISTRATION INSTRUMENT (NO 1) Powers exercised by the Board of the Prudential Regulation Authority (PRA)
HANDBOOK ADMINISTRATION INSTRUMENT (NO 1) 2013 Powers exercised by the Board of the Prudential Regulation Authority (PRA) A. The Prudential Regulation Authority makes this instrument in the exercise of
More informationThe Decision Procedure and Penalties manual
The Decision Procedure and Penalties manual DEPP Contents The Decision Procedure and Penalties manual DEPP 1 Application and Purpose 1.1 Application and Purpose 1.2 Introduction to statutory notices DEPP
More informationDISCLOSURE RULES AND TRANSPARENCY RULES SOURCEBOOK (STATUTORY AUDIT AMENDING DIRECTIVE) INSTRUMENT 2016
DISCLOSURE RULES AND TRANSPARENCY RULES SOURCEBOOK (STATUTORY AUDIT AMENDING DIRECTIVE) INSTRUMENT 2016 Powers exercised A. The Financial Conduct Authority makes this instrument in the exercise of the
More informationUK Authorised Investment Funds
UK Authorised Investment Funds UK Authorised Investment Funds Introduction There are currently four types of fund structure that may be formed in the UK and which may be authorised by the FCA for sale
More informationInvestment Funds sourcebook. Chapter 10. Operating on a cross-border basis
Investment Funds sourcebook Chapter Operating on a cross-border basis FUND : Operating on a Section.1 : Application and purpose.1 Application and purpose.1.1 Application (1) This chapter applies to the
More informationGeneral Prudential sourcebook. Chapter 3. Cross sector groups
eneral Prudential sourcebook Chapter Cross sector groups .1 Application.1.1 (1) Unless otherwise stated, ENPU.1 applies to every firm that is a member of a financial conglomerate other than: (a) an incoming
More informationCollective Investment Schemes. Chapter 11. Master-feeder arrangements under the UCITS Directive
Collective Investment Schemes Chapter Master-feeder arrangements under the UCITS COLL : Master-feeder Section.1 : Introduction.1 Introduction.1.1 Application This chapter applies to: (1) an authorised
More informationCollective Investment Schemes. Chapter 6. Operating duties and responsibilities
Collective Investment Schemes Chapter Operating duties and Section.12 : isk management policy and.12 isk management policy and risk measurement.12.1 Application This section applies to: (1) an authorised
More informationConduct of Business Sourcebook. Chapter 14. Providing product information to clients
Conduct of Business Sourcebook Chapter Providing product information to clients COBS : Providing product Section.1 : Interpretation.1 Interpretation.1.1 In this chapter: (1) 'retail client' includes the
More informationPrinciples for Businesses
Principles for Businesses PRIN Contents Principles for Businesses PRIN 1 Introduction 1.1 Application and purpose 1.2 Clients and the Principles 1 Annex 1 Non-designated investment business - clients that
More informationCollective Investment Schemes. Chapter 5. Investment and borrowing powers
Collective Investment Schemes Chapter Investment and borrowing powers COLL : Investment and Section.4.4 Stock lending.4.1 Application (1) Subject to (2), this section applies to an ICVC, the depositary
More informationCOLLECTIVE INVESTMENT SCHEMES SOURCEBOOK (USE OF FINANCIAL DERIVATIVE INSTRUMENTS FOR UCITS) INSTRUMENT 2005
FSA 2005/8 COLLECTIVE INVESTMENT SCHEMES SOURCEBOOK (USE OF FINANCIAL DERIVATIVE INSTRUMENTS FOR UCITS) INSTRUMENT 2005 Powers exercised A. The Financial Services Authority makes this instrument in the
More informationFUNDS OF ALTERNATIVE INVESTMENT FUNDS INSTRUMENT 2010
FUNDS OF ALTERNATIVE INVESTMENT FUNDS INSTRUMENT 2010 Powers exercised A. The Financial Services Authority makes this instrument in the exercise of the powers and related provisions in or under: (1) the
More informationCollective Investment Schemes. Chapter 6. Operating duties and responsibilities
Collective Investment Schemes Chapter Operating duties and COLL : Operating duties and Section.B : UCITS depositaries.b UCITS depositaries.b.1 Application This section applies to the depositary of a UCITS
More informationTRANSPARENCY OBLIGATIONS DIRECTIVE (DISCLOSURE AND TRANSPARENCY RULES) INSTRUMENT 2006
FSA 2006/70 TRANSPARENCY OBLIGATIONS DIRECTIVE (DISCLOSURE AND TRANSPARENCY RULES) INSTRUMENT 2006 Powers exercised A. The Financial Services Authority makes this instrument in the exercise of the following
More informationClient Assets. Chapter 1. Application and general provisions
Client Assets Chapter Application and general CASS : Application and general Section. : Application and purpose. Application and purpose.. Application CASS applies to a firm as specified in the remainder
More informationCollective Investment Schemes. Chapter 7. Suspension of dealings and termination of authorised funds
Collective Investment Schemes Chapter Suspension of dealings and termination of authorised Section.3 : Winding up a solvent and.3 Winding up a solvent and terminating or winding up a subfund of an.3.1
More informationCollective Investment Schemes. Chapter 6. Operating duties and responsibilities
Collective Investment Schemes Chapter Operating duties and COLL : Operating duties and.a Duties of AFMs in relation to UCITS schemes and EEA UCITS schemes.a.1 Application (1) This section applies to: (a)
More informationTo provide tax relief for the victims of Hurricane Florence, Hurricane Michael, and certain California wildfires. IN THE SENATE OF THE UNITED A BILL
115TH CONGRESS 2D SESSION S. To provide tax relief for the victims of Hurricane Florence, Hurricane Michael, and certain California wildfires. IN THE SENATE OF THE UNITED STATES Mr. BURR (for himself,
More informationCollective Investment Schemes. Chapter 5. Investment and borrowing powers
Collective Investment Schemes Chapter Investment and borrowing powers .2 eneral investment powers and.2.1 Application (1) This section applies to an ICVC, an ACD, an authorised fund manager of an AUT or
More informationInvestment Funds sourcebook. Chapter 10. Operating on a cross-border basis
Investment Funds sourcebook Chapter Operating on a cross-border basis .5 National private placement.5.1 Application This section applies to the following types of AIFM that intend to market an AIF in the
More informationOCCUPATIONAL PENSION SCHEME FIRM (CONDUCT OF BUSINESS AND ORGANISATIONAL REQUIREMENTS) INSTRUMENT 2017
OCCUPATIONAL PENSION SCHEME FIRM (CONDUCT OF BUSINESS AND ORGANISATIONAL REQUIREMENTS) INSTRUMENT 2017 Powers exercised A. The Financial Conduct Authority makes this instrument in the exercise of the following
More informationInvestment Funds sourcebook. Chapter 3. Requirements for alternative investment fund managers
Investment Funds sourcebook Chapter equirements for alternative investment fund FUND : equirements for Section.1 : Application.1 Application.1.1 The application of this chapter is summarised in the following
More informationFees Manual. Chapter 5. Financial Ombudsman Service Funding
Fees Manual Chapter Financial Ombudsman Service Funding Release 3 Jan 2019 www.handbook.fca.org.uk FEES /2 FEES : Financial Ombudsman Annual General Levy Payable in Relation to the Compulsory Jurisdiction
More informationThe Perimeter Guidance Manual. Chapter 16. Scope of the Alternative Investment Fund Managers Directive
The Perimeter Guidance Manual Chapter Scope of the Alternative Investment Fund Managers Directive Section.5 : How AIFMD affects other.5 How AIFMD affects other G Overlap with the collective investment
More informationCollective Investment Schemes. Chapter 5. Investment and borrowing powers
Collective Investment Schemes Chapter Investment and borrowing powers COLL : Investment and borrowing limits for NUS operating as FAIFs.7 Investment powers and borrowing limits for NUS operating as FAIFs.7.1
More informationDisclosure Guidance and Transparency Rules sourcebook. Chapter 5. Vote Holder and Issuer Notification Rules
Disclosure Guidance and Transparency ules sourcebook Chapter Vote Holder and Issuer DT : Vote Holder and Issuer Section.1 : Notification of the acquisition.1 Notification of the acquisition or disposal
More informationSupervision. Chapter 13. Exercise of passport rights by UK firms
Supervision Chapter Exercise of passport rights by UK firms SUP : Exercise of passport Section.1 : Application and purpose.1 Application and purpose.1.1 Application This chapter applies to a UK firm, that
More informationCollective Investment Schemes. Chapter 6. Operating duties and responsibilities
Collective Investment Schemes Chapter Operating duties and COLL : Operating duties and Section.3.3 Valuation and pricing.3.1 Application (1) Subject to (3) and (4), this section applies to an authorised
More informationProspectus Rules. Chapter 5. Other provisions
Prospectus ules Chapter Other provisions P : Other provisions Section.1 : Validity of prospectus.1 Validity of prospectus.1.1 Validity of prospectus A prospectus is valid for 12 months after its approval
More informationALTERNATIVE INVESTMENT FUND MANAGERS DIRECTIVE (PRIVATE PLACEMENT AND REGISTRATION FEES AND MISCELLANEOUS DIRECTIONS) INSTRUMENT 2013
ALTERNATIVE INVESTMENT FUND MANAGERS DIRECTIVE (PRIVATE PLACEMENT AND REGISTRATION FEES AND MISCELLANEOUS DIRECTIONS) INSTRUMENT 2013 Powers exercised by the Financial Conduct Authority A. The Financial
More informationService companies. SERV Contents. Handbook requirements for service companies
Service SERV Contents Service SERV Handbook. Application and Purpose.2 Parts of the Handbook applicable to service SERV i www.handbook.fca.org.uk Release 3 Sep 208 Service Chapter Handbook requirements
More informationAmendments to the Collective Investment Schemes Regulatory Guide (COLLG)
Amendments to the Collective Investment Schemes Regulatory Guide (COLLG) In this document, underlining indicates new text and striking through indicates deleted text. 1 Overview 1.1 Introduction About
More informationSenior arrangements, Systems and Controls. Chapter 8. Outsourcing
Senior arrangements, Systems and Controls Chapter Outsourcing SYSC : Outsourcing Section.1 : eneral outsourcing.1 eneral outsourcing [Note: ESMA has also issued guidelines under article 16(3) of the ESMA
More informationFCA Circular. The SFC and the FCA may consider extending this MRF to include other types of funds in future in accordance with the Memorandum.
Appendix B II FCA Circular Mutual Recognition of Funds (MRF) between the United Kingdom (UK) and Hong Kong The Financial Conduct Authority (FCA) and the Securities and Futures Commission (SFC) signed a
More informationSupervision. Chapter 16. Reporting requirements
Supervision Chapter Reporting SUP : Reporting Section.1 : Application.1 Application.1.1 R This chapter applies to every firm and qualifying parent undertaking within a category listed in column (2) of
More informationRBS Collective Investment Funds Ltd Derivatives Risk Management Policy. Part 1: Authorised Corporate Director ( ACD ) Overarching Arrangements
RBS Collective Investment Funds Ltd Derivatives Risk Management Policy Part 1: Authorised Corporate Director ( ACD ) Overarching Arrangements 1 Contents Policy Statement 3 Derivatives Defined 3 Credit
More informationMortgages and Home Finance: Conduct of Business Sourcebook. Chapter 7A. Additional MCD disclosure: start of contract and after sale
Mortgages and Home Finance: Conduct of Business Sourcebook Chapter Additional MCD disclosure: start of contract and after sale MCOB : Additional MCD Section.1 : Application and general.1 Application and
More informationPROSPECTUS DIRECTIVE AMENDING DIRECTIVE INSTRUMENT 2012
PROSPECTUS DIRECTIVE AMENDING DIRECTIVE INSTRUMENT 2012 Powers exercised A. The Financial Services Authority makes this instrument in the exercise of the following powers and related provisions in the
More informationSenior arrangements, Systems and Controls. Chapter 6. Compliance, internal audit and financial crime
Senior arrangements, Systems and Controls Chapter Compliance, internal audit and financial crime Section.1 : Compliance.1 Compliance.1.-2 [Note: ESMA has also issued guidelines under article 1(3) of the
More informationListing Rules. Chapter 10. Significant transactions: Premium listing
Listing Rules Chapter Significant transactions: Release 31 Sep 2018 www.handbook.fca.org.uk LR /2 LR : Significant transactions: Annex 1 The Class Tests Class tests 1G This Annex sets out the following
More informationSupervision. Chapter 6. Applications to vary and cancel Part 4A permission and to impose, vary or cancel requirements
Supervision Chapter Applications to vary and cancel Part 4A permission and to impose, vary or cancel requirements SUP : Applications to vary and Section.1 : Application, interpretation and purpose.1 Application,
More informationThe Unfair Contract Terms Regulatory Guide
The Unfair Contract Terms Regulatory uide UNFCO Contents The Unfair Contract Terms Regulatory uide UNFCO The Unfair Contract Regulatory uide. Application and purpose.2 Introduction.3 The CRA.4 The CRA:
More informationInsurance: Conduct of Business
Insurance: Conduct of Business ICOBS Contents Insurance: Conduct of Business ICOBS 1 Application 1.1 The general application rule 1 Annex 1 Application (see ICOBS 1.1.2 ) ICOBS 2 eneral matters 2.1 Client
More informationThe Perimeter Guidance Manual. Chapter 12. Guidance for persons running or advising on personal pension schemes
The Perimeter Guidance Manual Chapter Guidance for persons running or advising on personal Section.1 : Background.1 Background Q1. What is the purpose of these questions and answers ('Q&As') and who should
More informationInvestment Funds sourcebook. Chapter 3. Requirements for alternative investment fund managers
Investment Funds sourcebook Chapter equirements for alternative investment fund FUND : equirements for.11 Depositaries.11.1 Application This section applies in accordance with the table in FUND.11.2 and
More informationAPPROVED PERSONS REGIME (MERGING THE CUSTOMER FUNCTIONS) INSTRUMENT 2007
FSA 2007/14 APPROVED PERSONS REGIME (MERGING THE CUSTOMER FUNCTIONS) INSTRUMENT 2007 Powers exercised A. The Financial Services Authority makes this instrument in the exercise of the following powers and
More informationHandbook Notice No.47
No.47 Contents 1. Overview 2 2. Summary of changes 4 3. Consultation feedback 11 4. Additional information 27 How to navigate this document onscreen returns you to the contents list No.47 Financial Conduct
More informationPreparing for PRIIPs. September 2016
Preparing for PRIIPs September 2016 Brussels / Du sseldorf / Hamburg / London / Manchester / Milan / Munich / Paris / Rome / Shanghai / Silicon Valley / fieldfisher.com Preparing for PRIIPs After a lengthy
More informationADVISING ON INVESTMENTS (ARTICLE 53(1) OF THE REGULATED ACTIVITIES ORDER) (CONSEQUENTIAL AMENDMENTS) INSTRUMENT 2017
ADVISING ON INVESTMENTS (ARTICLE 53(1) OF THE REGULATED ACTIVITIES ORDER) (CONSEQUENTIAL AMENDMENTS) INSTRUMENT 2017 Powers exercised A. The Financial Conduct Authority makes this instrument in the exercise
More informationASSET MANAGEMENT. Prospectus. for: Royal London Bond Funds ICVC (the Company )
ASSET MANAGEMENT Prospectus for: Royal London Bond Funds ICVC (the Company ) Royal London Unit Trust Managers Limited Authorised and regulated by the Financial Conduct Authority Valid as at 10 August 2018
More informationIPRU-INV -link- IPRU-INV -link- Release 25 Mar IPRU-INV -link-/1
IPU-INV -link- IPU-INV -link- elease 25 Mar 2018 www.handbook.fca.org.uk IPU-INV -link-/1 IPU-INV -link- Section Interim Prudential sourcebook for Investment Businesses Click here to view the provisions
More informationFEES (SINGLE FINANCIAL GUIDANCE BODY LEVY) INSTRUMENT 2018
FEES (SINGLE FINANCIAL GUIDANCE BODY LEVY) INSTRUMENT 2018 Powers exercised A. The Financial Conduct Authority makes this instrument in the exercise of the following powers and related provisions in the
More informationMORTGAGES AND HOME FINANCE (MISCELLANEOUS AMENDMENTS) INSTRUMENT 2016
FCA 2016/60 MORTGAGES AND HOME FINANCE (MISCELLANEOUS AMENDMENTS) INSTRUMENT 2016 Powers exercised A. The Financial Conduct Authority makes this instrument in the exercise of the following powers and related
More informationThe DFSA Rulebook. Fees Module (FER)
The DFSA Rulebook Fees Module (FER) Contents The contents of this module are divided into the following chapters, sections and appendices: 1 INTRODUCTION...4 1.1 Application...4 1.2 General provisions...5
More informationCode for Underwriting Agents: UK Personal Lines Claims & Complaints Handling
Code for Underwriting Agents: UK Personal Lines Claims & Complaints Handling OCTOBER 2015 2 INTRODUCTION Lloyd s seeks to ensure that policyholders are treated fairly and can have confidence that their
More informationRecognised Investment Exchanges
Recognised Investment Exchanges REC Contents Recognised Investment Exchanges REC 1 Introduction 1.1 Application 1.2 Purpose, status and quotations REC 2 Recognition requirements 2.1 Introduction 2.2 Method
More informationPROPOSAL TO MERGE THREADNEEDLE S RANGE OF MULTI MANAGER FUNDS INTO THE 7IM INVESTMENT FUNDS
THIS DOCUMENT IS IMPORTANT AND REQUIRES YOUR IMMEDIATE ATTENTION. If you are in any doubt about the contents of this document or actions to be taken please call free on 0800 953 0134 or consult your financial
More informationCollective Investment Schemes. Chapter 5. Investment and borrowing powers
Collective Investment Schemes Chapter Investment and borrowing powers COLL : Investment and Section.1 : Introduction.1 Introduction.1.1 Application (1) Subject to 1(A), COLL.1 to COLL. apply to the authorised
More informationDispute resolution: Complaints
Dispute resolution: Complaints DISP Contents Dispute resolution: Complaints DISP INTO INTO 1 Introduction Introduction DISP 1 Treating complainants fairly 1.1 Purpose and application 1.1A Complaints handling
More informationFees Manual. Chapter 10. Pensions guidance levy
Fees Manual Chapter Pensions guidance levy FEES : Pensions guidance levy Section.1 : Application, purpose and background.1 Application, purpose and background.1.1 Application This chapter applies to a
More informationMortgages and Home Finance: Conduct of Business Sourcebook. Chapter 1. Application and purpose
Mortgages and Home Finance: Conduct of Business Sourcebook Chapter Application and MCOB : Application and Section. : Application and. Application and.. Application MCOB applies as described in this chapter...2
More informationConduct of Business Sourcebook. Chapter 4. Communicating with clients, including financial promotions
Conduct of Business Sourcebook Chapter Communicating with clients, including financial Section.1 : Application.1 Application.1.1 Who? What? This chapter applies to a firm: (1) communicating with a client
More informationListing particulars for professional securities market and certain other securities: All securities
Listing Rules LR Contents Listing Rules LR 1 Preliminary: All securities 1.1 Introduction 1.2 Modifying rules and consulting the FSA 1.3 Information gathering and publication 1.4 Miscellaneous 1.5 Standard
More informationPROSPECTUS. FP Frontier ICVC
IMPORTANT: IF YOU ARE IN ANY DOUBT ABOUT THE CONTENTS OF THIS PROSPECTUS YOU SHOULD CONSULT YOUR PROFESSIONAL ADVISER. FundRock Partners Limited, the authorised corporate director of the Company, is the
More informationA. The Financial Conduct Authority makes this instrument in the exercise of the following powers and related provisions:
FCA 2014/44 ALTERNATIVE INVESTMENT FUND MANAGERS DIRECTIVE AND UNDERTAKINGS FOR COLLECTIVE INVESTMENT IN TRANSFERABLE SECURITIES DIRECTIVE (MISCELLANEOUS AMENDMENTS) INSTRUMENT 2014 Powers exercised A.
More informationMortgages and Home Finance: Conduct of Business Sourcebook. Chapter 9. Equity release: product disclosure
Mortgages and Home Finance: Conduct of Business Sourcebook Chapter Equity release: product disclosure .8 Disclosure after sale: lifetime.8.1 Annual statements: content The statement required by MCOB 7.5.1
More informationConduct of Business Sourcebook. Chapter 4. Communicating with clients, including financial promotions
Conduct of Business Sourcebook Chapter Communicating with clients, including financial COBS : Communicating with.12 Restrictions on the promotion of non-mainstream pooled investments.12.3 R Restrictions
More informationPORTFOLIO ADVANTAGE FUNDS ICVC
UNAUDITED INTERIM REPORT AND FINANCIAL STATEMENTS THREADNEEDLE PORTFOLIO ADVANTAGE FUNDS ICVC JUNE 2016 THREADNEEDLE PORTFOLIO ADVANTAGE FUNDS ICVC COLUMBIATHREADNEEDLE.COM Contents Company Information...
More informationPENSION SCHEMES (RESTRICTIONS ON EARLY EXIT CHARGES) INSTRUMENT 2016
PENSION SCHEMES (RESTRICTIONS ON EARLY EXIT CHARGES) INSTRUMENT 2016 Powers exercised A. The Financial Conduct Authority makes this instrument in the exercise of the following powers and related provisions
More informationProspectus of CCLA Authorised Contractual Scheme
Prospectus of CCLA Authorised Contractual Scheme Prospectus of CCLA Authorised Contractual Scheme (An authorised contractual scheme formed as a co-ownership scheme under section 235A of the Financial Services
More informationSupervision. Chapter 16. Reporting requirements
Supervision Chapter eporting SUP : eporting Section.17 : emuneration reporting.17 emuneration reporting.17.1 G Purpose The purpose of this section is to ensure that the FCA receives regular and comprehensive
More informationCOMPLAINTS HANDLING AND CALL CHARGES INSTRUMENT 2015
FCA 2015/39 COMPLAINTS HANDLING AND CALL CHARGES INSTRUMENT 2015 Powers exercised by the Financial Conduct Authority A. The Financial Conduct Authority makes this instrument in the exercise of the following
More informationThe Perimeter Guidance Manual. Chapter 16. Scope of the Alternative Investment Fund Managers Directive
The Perimeter Guidance Manual Chapter Scope of the Alternative Investment Fund Managers Directive PERG : Scope of the.6 Exclusions G Question 6.1: What exclusions from the regulated activities specific
More informationListing Rules. Chapter 15. Closed-Ended Investment Funds: Premium listing
Listing ules Chapter Closed-Ended Investment L : Closed-Ended Investment Section.1 : Application.1 Application.1.1 This chapter applies to a closed-ended investment fund applying for, or with, a premium
More informationRBS Collective Investment Funds Limited
Derivatives Risk Management Policy RBS Collective Investment Funds Limited Derivatives Risk Management Policy ACD Overarching Arrangements Policy Statement The purpose of the derivatives policy is to ensure
More informationBENCHMARKS REGULATION (AMENDMENT) INSTRUMENT 2018
BENCHMARKS REGULATION (AMENDMENT) INSTRUMENT 2018 Powers exercised A. The Financial Conduct Authority makes this instrument in the exercise of the following powers and related provisions in: (1) the Financial
More informationconduct of business sourcebook Chapter 22 Restrictions on the distribution of certain regulatory capital instruments
conduct of business sourcebook Chapter estrictions on the distribution of certain regulatory Section.2 : estrictions on the retail distribution of mutual society shares.2 estrictions on the retail distribution
More informationConsumer Credit sourcebook. Chapter 7. Arrears, default and recovery (including repossessions)
Consumer Credit sourcebook Chapter Arrears, default and recovery (including CONC : Arrears, default and.18 Notice of sums in arrears under P2P agreements for runningaccount [Note: Until the end of 30 September
More information