Content Options:

Add to favourites

View Options:

More Resources:

External link Handbook Publications

You are viewing the version of the document as on 2024-11-01.

register

  1. (1) 107[deleted]107
  1. (2) 3172[deleted]72521
  1. 210118210727231(3) (in COLL) either:219
    1. (a) the register of unitholders kept under (as appropriate):219
      1. (i) Schedule 3 to the OEIC Regulations;219
      2. (ii) COLL 6.4.4 R (Register: general requirements and contents); 219
      3. (iii) COLL 8.5.8 R (The register of unitholders: AUTs or ACSs); or 219
      4. (iv) COLL 15.7.-12BR (The register of unitholders: AUTs or ACSs (schemes made available to retail clients who are not limited protection LTAF investors) or COLL 15.7.12R (The register of unitholders: AUTs or ACSs (schemes intended only for limited protection LTAF investors)) (as applicable); or219
    2. (b) in relation to a collective investment scheme that is not an authorised fund, a record of the holders (other than of bearer certificates) of units in it.219