Related provisions for COLL 5.6.5A

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(1) This section contains rules on the types of permitted investments and any relevant limits with which non-UCITS retail schemes must comply. These rules allow for the relaxation of certain investment and borrowing powers from the requirements of the UCITS Directive. Consequently, a scheme authorised as a non-UCITS retail schemewill not qualify for the cross border passporting rights conferred by the UCITS Directive on a UCITS scheme.(2) Some examples of the different investment
Transferable securities and money-market instruments held within a non-UCITS retail scheme must:(1) 2(a) be admitted to or dealt in on an eligible market within COLL 5.2.10 R (Eligible markets: requirements); or9(b) be recently issued transferable securities which satisfy the requirements for investment by a UCITS scheme set out in COLL 5.2.8 R (3)(e); or9(c) be approved money-market instruments not admitted to or dealt in on an eligible market which satisfy the requirements for
(1) Collateral is adequate for the purposes of this section only if it is:(a) transferred to the depositary or its agent;(aa) 6for a UCITS scheme, received under a title transfer arrangement;(ab) 6for a UCITS scheme, at all times equal in value to the market value of the securities transferred by the depositary plus a premium;(b) for a non-UCITS retail scheme, at all times 6at least equal in value 6to the value of the securities transferred by the depositary; and(c) for a non-UCITS
(1) This chapter helps in achieving the statutory objective of protecting consumers by laying down minimum standards for the investments that may be held by an authorised fund. In particular:(a) the proportion of transferable securities and derivatives that may be held by an authorised fund is restricted if those transferable securities and derivatives are not listed on an eligible market; the intention of this is to restrict investment in transferable securities or derivatives
This table belongs to COLL 5.1.2G (2).Scheme investments and investment techniquesLimits for UCITS schemesLimits for non-UCITS retail schemesPermissible investmentMaximum limitPermissible investmentMaximum limitApproved securitiesYesNoneYesNoneTransferable securities that are not approved securitiesYes10%Yes20%Government and public securitiesYesNoneYesNoneRegulated schemes other than qualified investor schemes1YesNoneYesNoneUnregulated schemes and qualified investor schemes1NoN/AYes20%(C)1WarrantsYesNoneYesNoneInvestment
This table belongs to COLL 4.2.2 R (Publishing the prospectus).Document status1A statement that the document is the prospectus of the authorised fund valid as at a particular date (which shall be the date of the document).Authorised fund2A description of the authorised fund including:(a) its name;29(aa)its FCA product reference number (PRN);(b)whether it is an ICVC, ACS21 or an AUT;173(ba)whether it is a UCITS scheme or a non-UCITS retail scheme;17(bb)a statement that unitholders
This table belongs to COLL 3.2.4 R (Matters which must be included in the instrument constituting the fund14)14Name of scheme1A statement of:(1) the name of the authorised fund; and(2) whether the authorised fund is a UCITS scheme or a non-UCITS retail scheme.Investment powers in eligible markets2A statement that, subject to any restriction in the rules in this sourcebook or the instrument constituting the fund14, the scheme has the power to invest in any eligible securities market