FUND App 1.1 Section title
1This appendix sets out the procedures that the FCA will follow in relation to written notices under the AIFMD UK regulation.
DEPP 2 Annex 1 G sets out the procedures that the FCA will follow in relation to warning notices and decision notices under the AIFMD UK regulation.
For the purposes of this appendix, the procedures in DEPP 4.1 (Executive decision maker) apply to decisions in this appendix that are taken by executive procedures.
Regulation |
Description |
Decision Maker |
12(3) |
Where the FCA decides to enter an AIFM on the register of small registered UK AIFMs. |
|
20(3)(a) |
Where the FCA proposes to suspend the registration of a small registered UK AIFM or suspends such a registration with immediate effect. |
|
20(6)(a) |
Where the FCA decides to suspend the registration of a small registered UK AIFM in the way proposed (or, if the suspension has already been imposed, not to revoke the suspension), to make a suspension other than in the way proposed (or, if the suspension has already been imposed, to amend the suspension) or not to make a suspension (or if the suspension has already been imposed, to revoke such a suspension). |
|
26(7) |
Where the FCA proposes to refuse to approve the delegation or sub-delegation of the functions of portfolio management or risk management by a full-scope UK AIFM. |
|
26(8)(a) |
Where the FCA decides to refuse to approve the delegation or sub-delegation of the functions of portfolio management or risk management by a full-scope UK AIFM. |
|
54(6) |
Where the FCA proposes to refuse an application to market an AIF by a full-scope UK AIFM or a full-scope EEA AIFM under regulation 54 (FCA approval for marketing) of the AIFMD UK regulation. |
|
54(7)(a) |
Where the FCA decides to refuse an application to market an AIF by a full-scope UK AIFM or a full-scope EEA AIFM under regulation 54 (FCA approval for marketing) of the AIFMD UK regulation. |
|
64(3)(a) |
Where the FCA proposes to suspend an AIFM's entitlement to market an AIF under regulations 57, 58 or 59 (National Private Placement) of the AIFMD UK regulation or suspends such an entitlement with immediate effect. |
|
64(7)(a) |
Where the FCA decides to suspend an AIFM's entitlement to market an AIF under regulations 57, 58 or 59 (National Private Placement) of the AIFMD UK regulation in the way proposed, other than in the way proposed or not to revoke such a suspension. |
|
64(8) |
Where the FCA decides not to suspend an AIFM's entitlement to market an AIF under regulations 57, 58 or 59 (National Private Placement) of the AIFMD UK regulation in the way proposed or to revoke such a suspension. |