Related provisions for COLL 3.2.8

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DISP 2.6.1RRP
The Ombudsman can consider a complaint under the Compulsory Jurisdiction only if it relates to an act or omission by a firm in the carrying on of one or more of the following activities (unless the provision described in DISP 2.6.3 R applies):(1) regulated activities;(2) lending money secured by a charge on land;(3) lending money (other than restricted credit);(4) paying money by a plastic card (other than a store card);(5) the provision of ancillary banking services (see DISP
DISP 2.6.2GRP
The activities in DISP 2.6.1 R include any ancillary activities, including advice, provided by the firm in connection with those activities.
COBS 2.1.1RRP
(1) 1A firm must act honestly, fairly and professionally in accordance with the best interests of its client (the client's best interests rule).(2) This rule applies in relation to designated investment business carried on:(a) for a retail client; and(b) in relation to MiFID or equivalent third country business, for any other client.[Note: article 19(1) of MiFID ]
COBS 13.1.3RRP
A firm is not required to prepare:(1) a document, if another firm has agreed to prepare it; or(2) a key features document for:(a) a unit in a simplified prospectus scheme; or(b) a unit in an EEA simplified prospectus scheme; or(c) a unit in a key features scheme, if it prepares a simplified prospectus, or the information appears with due prominence in another document, instead; or(d) a stakeholder pension scheme, or personal pension scheme that is not a personal pension policy,
COLL 6.1.1RRP
This chapter applies to:(1) an authorised fund manager of an AUT or an ICVC;(2) any other director of an ICVC;(3) a depositary of an AUT or an ICVC; and(4) an ICVC,where such AUT or ICVC is a UCITS scheme or a non-UCITS retail scheme.
COLL 3.1.1RRP
This chapter applies to:(1) an authorised fund manager of an AUT or an ICVC;(2) any other director of an ICVC;(3) a depositary of an AUT or an ICVC; and(4) an ICVC,where the AUT or ICVC is a UCITS scheme or a non-UCITS retail scheme.
COBS 18.9.1RRP
1Only the financial promotion rules in COBS apply to an ICVC.
COLL 4.1.1RRP
This chapter applies to:(1) an authorised fund manager of an AUT or an ICVC;(2) any other director of an ICVC;(3) a depositary of an AUT or an ICVC; and(4) an ICVC,where such AUT or ICVC is a UCITS scheme or a non-UCITS retail scheme.
DISP 1.9.1RRP
A firm, including, in the case of MiFID business, a branch of a UKfirm in another EEA state, must keep a record of each complaint received and the measures taken for its resolution, and retain that record for:(1) at least five years where the complaint relates to MiFID business; and(2) three years for all other complaints;from the date the complaint was received. [Note: article 10 of the MiFID implementing Directive]
COBS 4.3.1RRP
(1) A firm must ensure that a financial promotion addressed to a client is clearly identifiable as such.[Note: article 19(2) of MiFID](2) In the case of a financial promotion that relates to the firm'sMiFID or equivalent third country business, this rule does not apply to the extent that a financial promotion is a third party prospectus.(3) In the case of a financial promotion that does not relate to the firm'sMiFID or equivalent third country business, this rule applies to communicating
DEPP 2.5.16GRP
A notice under section 264(2) of the Act (notification of non-compliance with UK law) relating to a collective investment scheme constituted in another EEA State is not a warning notice, but the FSA will operate a procedure for a section 264(2) notice which will be similar to the procedure for a warning notice.
DEPP 2.5.18GRP
Some of the distinguishing features of notices given under enactments other than the Act are as follows: (1) Building Societies Act 1986, section 36A: There is no right to refer a decision to issue a prohibition order under section 36A to the Tribunal. Accordingly, a decision notice under section 36A(5A) is not required to give an indication of whether any such right exists. A decision notice under section 36A(5A) may only relate to the issue of a prohibition order under section
COLL 7.6.2RRP
(1) If a scheme of arrangement is entered into in relation to an authorised fund ("transferor fund") or a sub-fund of a scheme which is an umbrella ("transferor sub-fund"), an authorised fund manager must ensure that the unitholders of the transferor fund or sub-fund do not become unitholders of units in a collective investment scheme other than a regulated collective investment scheme.(2) For a UCITS scheme or a sub-fund of a UCITS scheme, (1) applies as if the reference to a
COBS 11.3.1RRP
(1) A firm which is authorised to execute orders on behalf of clients must implement procedures and arrangements which provide for the prompt, fair and expeditious execution of client orders, relative to other orders or the trading interests of the firm.[Note: paragraph 1 of article 22(1) of MiFID](2) These procedures or arrangements must allow for the execution of otherwise comparable orders in accordance with the time of their reception by the firm.[Note: paragraph 2 of article
GENPRU 3.2.9RRP
If the Part IV permission of a firm contains a requirement obliging it to comply with this rule with respect to a third-country banking and investment group of which it is a member, it must comply, with respect to that third-country banking and investment group, with the rules in Part 2 of GENPRU 3 Annex 2, as adjusted by Part 3 of that annex.
COBS 16.2.1RRP
(1) If a firm has carried out an order in the course of its designated investment business on behalf of a client, it must:(a) promptly provide the client, in a durable medium, with the essential information concerning the execution of the order;(b) in the case of a retail client, send the client a notice in a durable medium confirming the execution of the order and such of the trade confirmation information as is applicable: (i) as soon as possible and no later than the first
SUP App 3.9.6GRP

1Activities set out in Article 5(2) and (3) of the UCITS Directive

Table 2A: UCITS Directive activities

Part II RAO Activities

Part III RAO Investments

1.

The management of UCITS in the form of unit trusts / common funds or of investment companies; this includes the function mentioned in Annex II of the UCITS Directive (see Note 2).

Articles 14, 21, 25, 37, 51, 53, 64

Articles 76-81, 83-85, 89

2.

Managing portfolios of investments, including those owned by pension funds, in accordance with mandates given by investors on a discretionary, client-by-client basis, where such portfolios include one or more of the instruments listed in Section C 3of Annex I 3to MiFID3.

33

Articles 14, 21, 25, 37, 53, 64

Articles 76-81, 83-85, 89

3.

Investment advice concerning one or more of the instruments listed in Section C3of Annex I 3to MiFID3.

3

Articles 53, 64

Articles 76-81, 83-85, 89

4.

Safekeeping and administration services in relation to units of collective investment undertakings.

Articles 40, 45, 64

Articles 76-81, 83-85, 89

Note 1. A UCITS management company can only exercise passport rights under the UCITS Directive (article 2(13)(h) of MiFID3). A UCITS management company can only be authorised to carry on the non-core services set out in rows (3) and (4) of Table 2A if it is also authorised to carry on the activity set out in row (2) of the table.

33

Note 2. The functions set out in Annex 2 to the UCITS Directive are:

1.

Investment management.

2.

Administration:

a.

legal and fund management accounting services;

b.

customer inquiries;

c.

valuation and pricing (including tax returns);

d.

regulatory compliance monitoring;

e.

maintenance of unit-holder register;

f.

distribution of income;

g.

unit issues and redemptions;

h.

contract settlements (including certificate dispatch);

i.

record keeping.

3.

Marketing.
COLL 5.5.1RRP
This section applies to an ICVC, an ACD, a manager of an AUT, a depositary of an ICVC and a trustee of an AUT, where such ICVC or AUT is a UCITS scheme as set out in COLL 5.5.2 R (Table of application).