COLL Sch 1 Record keeping requirements

COLL Transitional Provision 3

Election or revocation to comply with CIS

Details

At election or revocation

6 years

1COLL Transitional Provision 14

Election for early compliance with the instrument

Details

At election

6 years

COLL 4.4.11 R (5)

Minutes of meetings (AFM)

Full details

As implicit from the rules in COLL

As implicit from the rules in COLL

COLL 6.2.5 R (1)

Issues and cancellations of units (AFM)

Full details

As implicit from the rules in COLL

As implicit from the rules in COLL

COLL 6.4.6 R (4)

Instruments of Transfer (person responsible for the register)

Full details

From registration

6 years

COLL 6.6.6 R (1)

General record- keeping obligations (AFM)

Such as to demonstrate compliance with the rules in COLL

As implicit from the rules in COLL

6 years

COLL 6.6.6 R (2)

Units held, acquired or disposed of (AFM)

Daily record of units held, acquired or disposed of by the AFM

As implicit in rules in COLL

6 years

COLL 6.6.6 R (3)

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

As implicit from the rules in COLL

6 years

COLL 6.6.12 R (3)

General record-keeping obligations (depositary)

Such as to demonstrate compliance with the rules in COLL

As implicit from the rules in COLL

6 years3

3COLL 6.13.2 R

Portfolio transactions relating to a UCITS

Full details

After transaction

5 years

3COLL 6.13.3 R

Subscription and redemption orders

Full details

After receipt of order

5 years

3COLL 6.13.4 R

Records referred to in COLL 6.13.2 R and COLL 6.13.3 R

Full details

After termination of authorisation of UCITS management company

Outstanding term of 5 year period

6COLL 7.8.4R(4)

The decision of the governing body of the authorised fund manager

The decision to create a side pocket class and the reasons for it

As implicit from the rules in COLL

5 years

COLL 8.3.8 R (2)

Minutes of meetings (AFM)

Full details

As implicit from the rules in COLL

6 years

COLL 8.5.2 R (3)(e)

General record keeping obligations (AFM)

Full details

As implicit from the rules in COLL

As implicit from the rules in COLL

COLL 8.5.2 R (3)(f)

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

COLL 8.5.4 R (2)(h)

General record keeping obligation (depositary)

Full details

As implicit from the rules in COLL

As implicit from the rules in COLL

COLL 8.5.10 R (4)

Issues and cancellations of units (AFM)

Full details

As implicit from the rules in COLL

As implicit from the rules in COLL

4COLL 14.3.6R

Dealings with an advisory committee

Details

As implicit from the rules in COLL

5 years

5COLL 15.2.6R(3)

The depositary’s determination

The determination and the reasons for making it

As implicit from the rules in COLL

6 years

5COLL 15.5.12R(2)

Minutes of meetings (AFM)

Full details

As implicit from the rules in COLL

6 years

5COLL 15.7.2R(3)(e)

General record keeping obligations (AFM)

Full details

As implicit from the rules in COLL

As implicit from the rules in COLL

5COLL 15.7.2R(3)(f)

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

5COLL 15.7.6R(2)(g)

General record keeping obligation (depositary)

Full details

As implicit from the rules in COLL

As implicit from the rules in COLL

5COLL 15.8.5R(4)

Issues and cancellations of units (AFM)

Full details

As implicit from the rules in COLL

As implicit from the rules in COLL

2COLL TP 1.1.16

Election to comply with COLL 4.5 or COLL 8.3.5 R to COLL 8.3.5D R as those rules were in force on 5 March 2010

Details

At election

6 years