Related provisions for COLL 6.9.1
21 - 28 of 28 items.
1This chapter applies to:(1) an authorised fund manager of an AUT or an ICVC;(2) any other director of an ICVC;(3) an ICVC; and(4) a trustee of an AUT or a depositary of an ICVC;where such AUT or ICVC is a UCITS scheme that is a feeder UCITS or a master UCITS in accordance with COLL 11.1.2 R (Table of application).
This table belongs to COLL 11.1.1 R
Reference |
Trustee of an AUT or depositary of an ICVC |
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11.1.1R |
x |
x |
x |
x |
x |
11.1.3G |
x |
x |
x |
x |
x |
11.2.1G |
x |
x |
x |
x |
|
11.2.2R |
x |
x |
x |
x |
|
11.3.1R |
x |
x |
x |
x |
|
11.3.2R |
x |
x |
x |
x |
|
11.3.3G |
x |
x |
x |
x |
|
11.3.4G |
x |
x |
x |
x |
|
11.3.5R |
x |
x |
x |
x |
|
11.3.6R |
x |
x |
x |
x |
|
11.3.7R |
x |
x |
x |
x |
|
11.3.8R |
x |
x |
x |
x |
|
11.3.9R |
x |
x |
x |
x |
|
11.3.10G |
x |
x |
x |
x |
|
11.3.11R |
x |
x |
x |
x |
|
11.3.12R |
x |
x |
x |
x |
|
11.3.13R |
x |
x |
x |
x |
|
11.3.14G |
x |
x |
x |
x |
|
11.4.1R |
x |
x |
x |
x |
x |
11.4.2R |
x |
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11.4.3R |
x |
||||
11.4.4G |
x |
||||
11.4.5G |
x |
||||
11.5.6R |
x |
x |
x |
x |
|
11.6.1G |
x |
x |
x |
x |
x |
11.6.2R |
x |
x |
x |
x |
x |
11.6.3R |
x |
x |
x |
x |
|
11.6.4R |
x |
x |
x |
x |
|
11.6.5R |
x |
x |
x |
x |
|
11.6.6R |
x |
x |
x |
x |
|
11.6.7R |
x |
x |
x |
x |
|
11.6.8G |
x |
x |
x |
x |
|
11.6.9R |
x |
x |
x |
x |
|
11.6.10R |
x |
x |
x |
x |
|
11.6.11G |
x |
x |
x |
x |
|
11.6.12R |
x |
x |
x |
x |
|
11.6.13R |
x |
x |
x |
x |
|
11 Annex 1R |
x |
x |
x |
x |
|
11 Annex 2R |
x |
x |
x |
x |
|
Note 1: "x" means "applies", but not every paragraph in every provision referred to will necessarily apply. |
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Note 2:COLL 11.5 (with the exception of COLL 11.5.6 R) applies to auditors. |
8(1) 8This section applies to an authorised fund manager, a depositary, an ICVC and any other director of an ICVC.(2) COLL 6.3.3A R to COLL 6.3.3D R (Accounting procedures):(a) apply to:(i) a UK UCITS management company providing collective portfolio management services for an EEA UCITS scheme from a branch in another EEA State or under the freedom to provide cross border services; and(ii) an EEA UCITS management company providing collective portfolio management services for a
(1) When notifying the FSA of any irregularities in accordance with COLL 11.4.3R (1), the depositary of the master UCITS should also inform the depositary of the feeder UCITS how the master UCITS or its authorised fund manager has resolved or proposes to resolve the irregularity.(2) Where the depositary of a UCITS scheme that is a feeder UCITS is informed by the depositary of a master UCITS of an irregularity and is not satisfied that the resolution or proposed resolution is in
(1) This chapter applies to:(a) an authorised fund manager of an AUT or an ICVC;(b) any other director of an ICVC;(c) a depositary of an AUT or an ICVC; and(d) an ICVC,which is a qualified investor scheme.(2) Where this chapter refers to rules in any other chapter of this sourcebook, those rules and any relevant guidance should be applied as if they referred to qualified investor schemes.
(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