Related provisions for COLL 6.6A.9
1 - 19 of 19 items.
(1) (a) If a depositary performs part of its functions through a branch in an 4EEA State, this is not a delegation by the depositary of its functions to a third party.(b) This is because ‘third party’ in COLL 6.6B.22R means any party that is not part of the same legal entity as the depositary.(2) [deleted]4(3) (a) A depositary that performs part of its functions through a branch in an EEA State 4 should ensure that those arrangements do not impede the depositary’s ability to meet
(1) This 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; and(b) subject to (2), a UKUCITS management company providing collective portfolio management services for an EEA UCITS scheme under the freedom to provide cross border services.(2) [deleted]17(3) This section does not apply to an EEA UCITS management company providing collective portfolio management services for a UCITS
(1) 8This rule applies to:(a) an authorised fund manager17of an AUT, ACS10 or an ICVC where such AUT, ACS10 or ICVC is a UCITS scheme13; and17(aa) 13a small authorised UK AIFM that is the authorised fund manager of an AUT, ACS or an ICVC that is a non-UCITS retail scheme.17(b) [deleted]17(2) The authorised fund manager has the power to retain the services of any person to assist it in the performance of its functions, provided that:(a) a mandate in relation to managing investments
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)
Some of the distinguishing features of notices given under enactments other than the Act are as follows: (1) [deleted]66(2) [deleted]66(3) Friendly Societies Act 1992, section 58A1: The warning notice and decision notice must set out the terms of the direction which the FCA6 proposes or has decided to give and any specification of when the friendly society is to comply with it. A decision notice given under section 58A(3) must give an indication of the society's right, given by
1Subject to the exemptions in SYSC 10A.1.4R, this chapter applies to a firm:(1) that is a:(a) MiFID investment firm3; or(b) full-scope UK AIFM; or(c) small authorised UK AIFM or residual CIS operator; or(d) [deleted]3(e) UCITS management company; or(f) MiFID optional exemption firm, performing activities covered by the exemption; or(g) [deleted]3(h) third country investment firm; or(i) that carries on activities referred to in the general application rule related to:(i) commodity