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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

Each and every rule in COLL15

815

R15

815

Expired15

815		 815 815

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

Each and every rule in COLL15

815

G15

815

Expired15

8		 15

815

3

Each and every rule in COLL15

815

R15

815		 815 815

Expired15

8

4

Each and every rule in COLL15

815

G

Expired15

8		 15

815

5

6COLL 6.9.9 R (4) to (6) (Restrictions of business for UCITS management companies)15

815

R15

88

Expired15

868615		 815 815

.

858

6

COLL 6.9.9 R (4) to (6) (Restrictions of business for UCITS management companies)15

6815

G15

8815

Expired15

8685815		 15

815

7

COLL 6.6.15 (2), (4) and (5) (Committees and delegation)15

815

R15

815

Expired15

815		 815 815

815

8

COLL 6.2 (dealing); COLL 6.3 (Valuation and pricing); (Valuation) and 16 (Table: contents of the prospectus)15

815

R15

8815		 815 815

Expired15

815

9

COLL 6.2 (dealing); COLL 6.3 (Valuation and pricing); COLL 5.2.5 R (Valuation) and COLL 4.2.5 R 16 (Table: contents of the prospectus)15

815

G15

815

Expired15

815		 15

10

FEES 3.2.1 R

28

R15

815

Expired15

815		 815 815

Definition of relevant party

11

COLL15

815

R15

8

Expired15

 815 815

815

122

COLL 10.2.1 R15

R15

Expired15

 15

134

COLL 4.2.5 R15

815

R15

815

Expired15

8		 815 815

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 FCAin 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

Expired15

15		 15 15

1016

COLL 4.5 and COLL 8.3.5 R to COLL 8.3.5E R

R

Expired15

15		 15 15

1117

COLL 4.5.5R (1)(a)(iv) and COLL 4.5.9R (9A)12

12

R12

Expired15

15		 15 15

12[Note: article 118(2) of the UCITS Directive]

1118

Each and every rule in COLL that relates to key investor information12

12

R12

Expired15

15		 15 15

1119

COLL 4.4.12 R

COLL 4.4.13 R

COLL 7.7.19 R12

12

R12

Expired15

15		 15 15

1120

COLL 4.4.12 R

COLL 4.4.13 R

COLL 7.7.19 R12

12

G12

Expired15

15		 15 15

1121

COLL 4.2.5R (3)(qa)

R

Expired15

15		 15 15

1122

COLL 4.6.8R(8)(d)

R

Expired15

 15 15

1123

COLL 5.9.3 R and COLL 5.9.5 R

R

Expired15

15		 15 15

1124

COLL 8.3.4R (6)

R

Expired15

15		 15 15

1325

COLL 3 to COLL 8

R

Expired15

15		 15 15

1326

COLL 3 to COLL 8

D

Expired15

15		 15 15

1327

COLL 3 to COLL 8

G

Expired15

15		 15 15

1428

COLL 4.2.5 R(3)(ca)

R

Expired15

15		 15 1516

1629

Amendments to each and every rule in COLL made by the Collective Investment Schemes (Accounting Amendments) (No 2) Instrument 2015

R

Amendments to the rules in COLL referred to in column (2) made by the instrument referred to in that column do not apply to any person where the current annual accounting period of an authorised fund commenced before 1 January 2015.

1 March 2015 to 31 December 2015

1 March 2015

1630

Amendments to each and every rule in COLL made by the Collective Investment Schemes (Accounting Amendments) (No 2) Instrument 2015

R

(1) Where the authorised fund manager of an authorised fund, ICVC or any other director of an ICVC, elects for early compliance with the instrument referred to in column (2) in relation to that scheme, COLL applies as if it had been amended by that instrument and TP 29 ceases to apply.

1 March 2015 to 31 December 2015

1 March 2015

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

1 March 2015 to 31 December 2015

1 March 2015

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

1 March 2015 until 6 years from the date the relevant election takes place

1 March 2015