COLL TP 1 Transitional Provisions
COLL TP 1.1
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(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 |
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Extra time provisions |
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Existing schemes electing to comply with COLL |
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1 |
8 15 |
R15 8 15 |
Expired15 8 15 |
8 15 | 8 15 | |
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1A 3 |
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 |
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2 |
8 15 |
G15 8 15 |
Expired15 8 |
15 | ||
| 8 15 | ||||||
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3 |
8 15 |
R15 8 15 |
8 15 | 8 15 | ||
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Expired15 8 |
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4 |
8 15 |
G |
Expired15 8 |
15 | ||
| 8 15 | ||||||
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5 |
6 COLL 6.9.9 R (4) to (6) (Restrictions of business for UCITS management companies)15 8 15 |
R15 8 8 |
Expired15 8 6 8 6 15 |
8 15 | 8 15 | |
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. 8 5 8 |
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6 |
COLL 6.9.9 R (4) to (6) (Restrictions of business for UCITS management companies)15 6 8 15 |
G15 8 8 15 |
Expired15 8 6 8 5 8 15 |
15 | ||
| 8 15 | ||||||
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7 |
COLL 6.6.15 (2) , (4) and (5) (Committees and delegation)15 8 15 |
R15 8 15 |
Expired15 8 15 |
8 15 | 8 15 | |
| 8 15 | ||||||
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8 |
COLL 6.2 (dealing); COLL 6.3 (Valuation and pricing); (Valuation) and 16 (Table: contents of the prospectus)15 8 15 |
R15 8 8 15 |
8 15 | 8 15 | ||
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Expired15 8 15 |
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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 8 15 |
G15 8 15 |
Expired15 8 15 |
15 | ||
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10 |
2 8 |
R15 8 15 |
Expired15 8 15 |
8 15 | 8 15 | |
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Definition of relevant party |
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11 |
8 15 |
R15 8 |
Expired15 |
8 15 | 8 15 | |
| 8 15 | ||||||
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122 |
R15 |
Expired15 |
15 | |||
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134 |
8 15 |
R15 8 15 |
Expired15 8 |
8 15 | 8 15 | |
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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 |
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(2) An election is irrevocable and does not take effect until the authorised fund manager notifies the depositary and the FCA in writing of the date it takes effect. |
Expired8 8 |
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(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 |
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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 | |
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1016 |
COLL 4.5 and COLL 8.3.5 R to COLL 8.3.5E R |
R |
Expired15 15 |
15 | 15 | |
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1117 |
COLL 4.5.5R (1)(a)(iv) and COLL 4.5.9R (9A)12 12 |
R12 |
Expired15 15 |
15 | 15 | |
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12[Note: article 118(2) of the UCITS Directive] |
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1118 |
Each and every rule in COLL that relates to key investor information12 12 |
R12 |
Expired15 15 |
15 | 15 | |
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1119 |
12 |
R12 |
Expired15 15 |
15 | 15 | |
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1120 |
12 |
G12 |
Expired15 15 |
15 | 15 | |
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1121 |
R |
Expired15 15 |
15 | 15 | ||
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1122 |
R |
Expired15 |
15 | 15 | ||
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1123 |
R |
Expired15 15 |
15 | 15 | ||
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1124 |
R |
Expired15 15 |
15 | 15 | ||
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1325 |
R |
Expired15 15 |
15 | 15 | ||
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1326 |
D |
Expired15 15 |
15 | 15 | ||
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1327 |
G |
Expired15 15 |
15 | 15 | ||
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1428 |
COLL 4.2.5 R (3)(ca) |
R |
Expired15 15 |
15 | 15 16 | |
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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 |
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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 |
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(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 |
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(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 |
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