COLL Sch 2 Notification requirements

This schedule sets out the notification requirements detailed in COLL in respect only of notifications to be provided to the FCA. These notification requirements, it should be noted, are in addition to the notifications which must be made to the FCA under section 251 of the Act (Alteration of schemes and changes of manager or trustee), section 261Q of the Act (Alteration of contractual schemes and changes of operator or depositary)6 and under regulation 21 of the OEIC Regulations (The Authority's approval for certain changes in respect of a company).

COLL Transitional provision 3

Election or revocation to comply with CIS

Details and the date from which it is to take effect

At election or revocation

Immediate

1COLL Transitional Provision 14

Election for early compliance with the instrument

Details and the date from which it is to take effect

At election

Immediate

COLL 4.2.3 R (1)(b)

Prospectus and any revisions thereto

Copy provided

Marketing scheme

Before marketing begins4

4COLL 4.2.3A R (1)(b)

Copy of prospectus of the master UCITS

Full details, together with any amendments

On publication

Immediately on publication5

5COLL 4.2.3B R (1)

Prospectus of the qualifying master scheme of a feeder NURS

Copy provided

Upon request by the FCA

Immediate

COLL 4.5.14 R (2)(d)

Annual and half yearly reports

Copy of report

End of annual or half-yearly accounting period

Immediately on publication4

4COLL 4.5.15 R (1)(b)

Copies of the annual and half-yearly long reports of the master UCITS

Full details

End of annual or half-yearly accounting period

Immediately on publication5

5COLL 4.5.16 R (1)

Annual and half-yearly long report (or nearest equivalent documents for a qualifying master scheme that is a recognised scheme) of the qualifying master scheme of a feeder NURS

Copy provided

Upon request by the FCA

Immediate

4COLL 4.7.7 R (2))

Key investor information document

Full details, together with any amendments

On first use

Immediate

4COLL 4.7.7 R (3)

Key investor information document of the master UCITS

Full details, together with any amendments

On first use

Immediate

COLL 6.5.3 R (5)

Change of ACD, directors or controller of ACD or a corporate director

Details

Occurrence

Immediate

COLL 6.6.7 R

Capital of ICVC

Details if capital: (a) falls below minimum or(b) exceeds maximum

Occurrence

Immediate

COLL 6.9.11 R

Change to ICVC or to one of its officers

Details

Occurrence

14 days4

4COLL 6.12.3 R

Risk management process

Details in COLL 6.12.3 R (2)(a) and COLL 6.12.3 R (2)(b) and any material alterations thereof

On first use of process

On a regular basis and at least annually

4COLL 6.12.6R(2)

Material change to the risk management process

Full details of change

On first use of amended process

Immediate

COLL 7.2.1 R (2) & COLL 7.2.1R (5)

Suspension or resumption of dealing

Details including reason for suspension

Occurrence

Immediate

COLL 7.3.5 R (5)

Winding up a solvent ICVC or terminating a solvent ICVC sub-fund (Directors)

Solvency statement

Winding up a solvent ICVC or ICVC sub-fund

Within 21 days of notice given under regulation 21 of OEIC Regulations

COLL 7.3.7 R (9)

Winding up a solvent ICVC or sub-fund of an ICVC (Depositary)

Completion of winding up or termination of a sub-fund

Winding up a solvent ICVC or ICVC sub-fund

As soon as reasonably practical after winding up completed

COLL 7.3.8 R (6)

Winding up a solvent ICVC (ACD)

Final accounts

Completion of winding up

Four3 months

COLL 7.3.8 R (6)

Winding up a solvent ICVC sub-fund (ACD)

Termination account and auditor's report

Termination of sub-fund

Four3 months

COLL 7.4.4R (6)

Winding up of an AUT or an AUT sub-fund (Trustee)

Completion of winding up

Winding up of an AUT

Immediate

COLL 7.4.5 R (5)

Winding up an AUT or AUT sub-fund

Annual reports of the manager and trustee

End of final accounting period

Four3 months46

6COLL 7.4A.5 R (5)

Winding up a solvent ACS or terminating a solvent sub-fund of a co-ownership scheme (Authorised contractual scheme manager)

Solvency statement

Winding up a solvent ACS or terminating a solvent sub-fund of a co-ownership scheme

Within 21 days of notice under section 261Q of the Act or within 21 days of request under section 261W of the Act.

6COLL 7.4A.6 R (6)

Winding up a solvent ACS or terminating a solvent sub-fund of a co-ownership scheme (Depositary)

Completion of winding up

Winding up

Immediate

6COLL 7.4A.9 R (7)

Winding up a solvent ACS or terminating a solvent sub-fund of a co-ownership scheme

Annual reports of authorised contractual scheme manager and depositary

End of final accounting period

Four months

4COLL 7.7.22 R

Confirmation of the completion of the merger transfer

Details of completion

On completion of transfer

Immediate

COLL 8.3.2 R

Prospectus and revisions

Full documents

Before marketing commences

Immediate

COLL 8.3.5 R (6)

Annual and half yearly reports

Copy of report

End of annual or half-yearly accounting period

Immediately on publication

COLL 8.6.3 R (3) & COLL 8.6.3 R (5)

Suspension or resumption of dealing (AFM)

Details including reason for suspension

Occurrence

Immediate

COLL 9.3.1 D

Notification of a scheme constituted in a designated territory

Prescribed details

Intention to market scheme in UK

As implicit from rules in COLL

COLL 9.3.1 D

Application under section 272 of the Act

Details

Intention to market scheme in the UK

Up to 6 months before commencing marketing4

4COLL 11.3.9 R

Identity of investing feeder UCITS

Full details

After investment

Immediate

4COLL 11.4.3 R

Notification of irregularities relating to a master UCITS

Full details

Detection

Immediate