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
    2006-11-07

Unitholder

(in CIS) (in relation to an AUT, and subject to CIS 11.3.2 R (Special meaning of Unitholder)):

  1. (a) (in relation to a unit represented by a bearer certificate) the person who holds the bearer certificate;
  2. (b) (in relation to a unit that is not represented by a bearer certificate) the person whose name is entered on the register in relation to that unit.

(in COLL)

  1. (a) (in relation to an ICVC or an AUT as appropriate, and subject to COLL 4.4.4 R (Special meaning of Unitholder in COLL 4.4)):
    1. (i) (in relation to a unit which is represented by a bearer certificate) the person who holds that certificate; or(ii) (in relation to a unit that is not represented by a bearer certificate) the person whose name is entered on the register in relation to that unit; or
  2. (b) (in relation to a unit in a collective investment scheme not within (a)):
    1. (i) the holder of a bearer certificate representing that unit; or
    2. (ii) the person who is entered on the register of the scheme as the holder of that unit. 210