Status: You are viewing the version of the handbook as on 2011-04-29.

COLL TP 1 Transitional Provisions

COLL TP 1.1

(1)

(2)

Material to which the transitional provision applies

(3)

(4)

Transitional provision

(5)

Transitional provision: dates in force

(6)

Handbook provision: coming into force

Extra time provisions

Existing schemes electing to comply with COLL

1

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8

[deleted]8

8

[deleted]8

8

Expired8

8

[deleted]8

8

1A3

Each and every rule in COLL8

8

R

The rules in COLL do not apply to any relevant party in relation to an authorised fund where the winding up of 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.

From 12 February 2007

12 February 2007

2

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8

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8

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Expired8

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3

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Expired8

8

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8

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8

4

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G

[deleted]8

8

Expired8

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8

5

6[deleted]8

8

[deleted]8

8
8686

Expired8

8

[deleted]8

8

.[deleted]8

858

6

[deleted]8

68

[deleted]8

8

[deleted]8

86858

Expired8

[deleted]8

8

7

[deleted]8

8

[deleted]8

8

[deleted]8

8

Expired8

8

[deleted]8

8

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8

Expired8

8

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8

9

[deleted]8

8

[deleted]8

8

[deleted]8

8

Expired8

10

[deleted]8

28

[deleted]8

8

[deleted8

8

Expired8

8

[deleted]8

8

Definition of relevant party

11

[deleted]8

8

[deleted]8

8

Expired8

8

[deleted]8

8

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8

122

Expired2

134

[deleted]8

8

[deleted]8

8

[deleted]8

8

Expired8

8

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8

714

Amendments to COLL made by the Collective Investment Schemes Sourcebook (UCITS Eligible Assets Directive and Other Amendments) Instrument 2008

R

(1) The authorised fund manager of an authorised fund may elect for early compliance with the instrument, in which case COLL applies as if it had been amended by the instrument.

Expired8

8

[deleted]8

8

(2) An election is irrevocable and does not take effect until the authorised fund manager notifies the depositary and the FSA in writing of the date it takes effect.

Expired8

8

(3) The authorised fund manager must make a record of the election and retain it for a period of six years from the date it takes effect.

From 6 March 2008 until 6 years from the date the relevant election took effect

915

Amendments to COLL 5.6.3 R made by the Collective Investment Schemes Sourcebook (Amendment No 5) Instrument 2009

R

The new timing provisions in relation to the prudent spread of risk will not take effect until 6 January 2011 in relation to those non-UCITS retail schemes authorised as an AUT or an ICVC prior to 6 January 2010.

6 January 2010 to 5 January 2011

6 January 2010

1016

COLL 4.5 and COLL 8.3.5 R to COLL 8.3.5E R

R

In relation to the preparation of any report pursuant to COLL 4.5 or COLL 8.3.5 R to COLL 8.3.5E R for the last annual accounting period or half-yearly accounting period ending before 6 March 2010, the authorised fund manager, depositary and auditor may together elect to comply with those rules as they were in force on 5 March 2010. The authorised fund manager must make a record of any such election and retain it for a period of six years from the date on which that record is made.

From 6 March 2010 to 5 July 2010

6 March 2010