Related provisions for COLL 4.2.1

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COLL 11.1.1RRP
1This chapter applies to:(1) an authorised fund manager of an AUT, ACS2 or an ICVC;(2) any other director of an ICVC;(3) an ICVC; and(4) a depositary2 of an AUT, ACS or2ICVC;2where such AUT, ACS2 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 11.1.2RRP

This table belongs to COLL 11.1.1 R

Reference

ICVC

ACD

Any other directors of an ICVC

Authorised fund manager of an AUT or ACS2

2

Depositary of an ICVC, AUT or ACS2

2

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

3

3

3

3

3

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

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.

Note 2:COLL 11.5 (with the exception of COLL 11.5.6 R) applies to auditors.
COLL 6.6A.1RRP
(1) 1This section applies to:(a) an authorised fund manager of a UCITS scheme, a depositary, an ICVC and any other director of an ICVC which is a UCITS scheme.3(b) [deleted]3(2) [deleted]3(3) [deleted]3
COLL 12.4.1RRP
(1) This section applies to:(a) an authorised fund manager of an AUT, ACS1 or ICVC;(b) any other director of an ICVC; and(c) an ICVC;which is a UCITS scheme whose units may be marketed in another EEA State (the Host State).(2) The marketing of units of a UCITS scheme in the Host State may not commence until the FCA has, in accordance with paragraph 20B(5) (Notice of intention to market) of Schedule 3 to the Act, notified the authorised fund manager, in response to the application
COLL 12.1.1RRP
(1) 1COLL 12.1 (Introduction) - COLL 12.3 (EEA UCITS management companies) apply to:(a) a UK UCITS management company that operates an EEA UCITS scheme; and(b) (i) an EEA UCITS management company that acts as:(A) (A) the authorised fund manager2 of an AUT or ACS;2 or2(B) (B) the ACD of an ICVC;(ii) any other director of an ICVC; and (iii) an ICVC;that is a UCITS scheme.(c) COLL 12.4 (UCITS product passport) applies in accordance with COLL 12.4.1 R (Application).
COLL 6.3.1RRP
8(1) 8Subject to (3) and (4), this12 section applies to an authorised fund manager, a depositary, an ICVC and any other director of an ICVC.(2) [deleted]13(3) The following rules and guidance do not apply to an authorised fund manager, a depositary, an ICVC, or any other director of an ICVC where the authorised fund is a regulated money market fund: 12(a) COLL 6.3.3R;12(b) COLL 6.3.3DR;12(c) COLL 6.3.4R(1) and (3) to (6D);12(d) COLL 6.3.5R; and12(e) COLL 6.3.5AR to COLL 6.3.5CG.12(4)
COLL 3.1.1RRP
This chapter applies to:(1) an authorised fund manager of an AUT, ACS1 or an ICVC;(2) any other director of an ICVC;(3) a depositary of an AUT, ACS1 or an ICVC; and(4) an ICVC,where the AUT, ACS1 or ICVC is a UCITS scheme or a non-UCITS retail scheme.
COLL 4.8.1RRP
1This section applies to an ICVC, an authorised fund manager of an AUT, ACS2 or ICVC and any other director of an ICVC where, in each case, the AUT, ACS2 or ICVC is a UCITS 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 6.1.1RRP
This chapter applies to:(1) an authorised fund manager of an AUT, ACS2 or an ICVC;(2) any other director of an ICVC;(3) a depositary of an AUT, ACS2 or an ICVC; and(4) an ICVC,where such AUT, ACS2 or ICVC is a UCITS scheme or a non-UCITS retail scheme.
COLL 4.1.1RRP
This chapter applies to:(1) an authorised fund manager of an AUT, ACS1 or an ICVC;(2) any other director of an ICVC;(3) a depositary of an AUT, ACS1 or an ICVC; and(4) an ICVC,where such AUT, ACS1 or ICVC is a UCITS scheme or a non-UCITS retail scheme.
COLL 8.1.1RRP
(1) This chapter applies to:(a) an authorised fund manager of an AUT, ACS3 or an ICVC;(b) any other director of an ICVC;(c) a depositary of an AUT, ACS3 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.
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