COLL Sch 1 Record keeping requirements
1 Record keeping requirements
Handbook reference |
Subject of record |
Contents of record |
When record must be made |
Retention period |
COLL Transitional Provision 3 |
Election or revocation to comply with CIS |
Details |
At election or revocation |
6 years |
Election for early compliance with the instrument |
Details |
At election |
6 years |
|
Minutes of meetings (AFM) |
Full details |
As implicit from the rules in COLL |
||
Issues and cancellations of units (AFM) |
Full details |
|||
Instruments of Transfer (person responsible for the register) |
Full details |
From registration |
6 years |
|
General record- keeping obligations (AFM) |
Such as to demonstrate compliance with the rules in COLL |
6 years |
||
Units held, acquired or disposed of (AFM) |
Daily record of units held, acquired or disposed of by the AFM |
6 years |
||
Dilution record- keeping obligations (AFM) |
How the AFM calculates and estimates dilution and its policy and method for determining the amount of any dilution levy or dilution adjustment |
6 years |
||
General record-keeping obligations (depositary) |
Such as to demonstrate compliance with the rules in COLL |
6 years |
||
Minutes of meetings (AFM) |
Full details |
6 years |
||
General record keeping obligations (AFM) |
Full details |
|||
Units held, acquired or disposed of (AFM) |
Daily record of units held, acquired or disposed of by the AFM |
As implicit from the rules in COLL |
6 years |
|
General record keeping obligation (depositary) |
Full details |
|||
Issues and cancellations of units (AFM) |
Full details |