Reset to Today

To access the FCA Handbook Archive choose a date between 1 January 2001 and 31 December 2004.

Content Options:

Add to favourites

View Options:

More Resources:

External link Handbook Publications

Alternative versions

  1. Point in time
    2016-11-22

FUND 3.1 Application

FUND 3.1.1G

1The application of this chapter is summarised in the following table; the detailed application is provided in each section.

Type of firm

Applicable sections

Full-scope UK AIFM of a UK AIF.

All of chapter 3.

Full-scope UK AIFM of an EEA AIF operating from an establishment in the UK.

All of chapter 3.

Full-scope UK AIFM of an EEA AIF operating from a branch in another EEA state.

All of chapter 3 with the exception of FUND 3.8 (Prime brokerage firms).

Incoming EEA AIFM branch which manages a UK AIF.

FUND 3.8 (Prime brokerage firms).

Full-scope UK AIFM of a non-EEA AIF marketed in the UK.

All of chapter 3 with the exception of FUND 3.12 (Marketing in the home Member State of the AIFM).

Full-scope UK AIFM of a non-EEA AIF not marketed in the UK.

All of chapter 3 with the exception of FUND 3.3 (Annual report of an AIF), FUND 3.11 (Depositaries) and FUND 3.12 (Marketing in the home Member State of the AIFM).

UK depositary of a UK AIF or a non-EEA AIF.

FUND 3.11 (Depositaries).