Related provisions for COLL 5.3.1

21 - 36 of 36 items.
Results filter

Search Term(s)

Filter by Modules

Filter by Documents

Filter by Keywords

Effective Period

Similar To

To access the FCA Handbook Archive choose a date between 1 January 2001 and 31 December 2004 (From field only).

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).
COLL 4.8.1RRP
1This section applies to an ICVC, an authorised fund manager of an AUT or ICVC and any other director of an ICVC where, in each case, the AUT or ICVC is a UCITS scheme.
COLL 11.1.1RRP
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).
COLL 7.1.1RRP
(1) 2This chapter applies to an ICVC, an ACD, any other director of an ICVC, a depositary of an ICVC, a manager of an AUT and a trustee of an AUT, where such AUT or ICVC is a UCITS scheme or a non-UCITS retail scheme in accordance with COLL 7.1.2 R (Table of application).(2) COLL 7.7 (UCITS mergers) applies only to a domestic UCITS merger or a cross-border UCITS merger.2
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 5.7.1RRP
(1) 1This section applies to the authorised fund manager and the depositary of a non-UCITS retail scheme operating as a FAIF and to an ICVC which is a non-UCITS retail scheme operating as a FAIF.(2) Where this section refers to:(a) a rule or guidance in COLL 5.1 to COLL 5.6, these rules and guidance, and any rules and guidance to which they refer, must be read as if a reference to a UCITS scheme or non-UCITS retail scheme were a reference to a non-UCITS retail scheme operating
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.
COLL 11.4.4GRP
(1) When notifying the FCAof 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
COLL 13.1.1RRP
This chapter applies to:(1) the authorised fund manager of a feeder NURS;(2) an ICVC that is a feeder NURS;(3) the authorised fund manager of a UCITS scheme or non-UCITS retail scheme which operates as a qualifying master scheme to a feeder NURS; and(4) (in the case of COLL 13.2.6 R (Inducements) only) any person acting on behalf of either the feeder NURS or the authorised fund manager of the feeder NURS.
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.
COLL 5.1.1RRP
(1) Subject to 1(A),3COLL 5.1 to COLL 5.5 apply to the authorised fund manager and the depositary of an authorised fund, and to an ICVC, which is or ever has been a UCITS scheme.(1A) The only sections of COLL 5 that apply to the authorised fund manager and the depositary of a feeder UCITS, and to an ICVC which is a feeder UCITS, are COLL 5.3 and COLL 5.8, although particular rules in COLL 5.1, COLL 5.2 and COLL 5.5 are incorporated by reference.3(2) Subject to 2(A),1COLL 5.1,
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