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

  4. Point in time
    2016-07-17

affected person

413(in COLL):

  1. (a) (in relation to an ICVC):
    1. (i) the ICVC;
    2. (ii) its depositary;
    3. (iii) a director of the ICVC;
    4. (iv) any investment adviser of the ICVC;
    5. (v) any associate of any person in (a)(i), (ii), (iii) or (iv);
    6. (vi) the auditor of the scheme;
  2. (b) (in relation to an AUT):
    1. (i) the manager;
    2. (ii) the trustee;
    3. (iii) any investment adviser of the manager;
    4. (iv) any associate of any person in (b)(i), (ii) or (iii);
    5. (v) the auditor of the scheme.
  3. 95(c) (in relation to an ACS):
    1. (i) the authorised fund manager;
    2. (ii) the depositary;
    3. (iii) any investment adviser of the authorised fund manager;
    4. (iv) any associate of any person in (c)(i), (ii) or (iii);
    5. (v) the auditor of the scheme;
    6. (vi) the nominated partner.