COLL 11.1 Introduction
Application
1This chapter applies to:
- (1)
an authorised fund manager of an AUT, ACS2 or an ICVC;
- (2)
- (3)
an ICVC; and
- (4)
a depositary2 of an AUT, ACS or2 ICVC;
2
where 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).
Table of application
This table belongs to COLL 11.1.1 R
Reference |
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 |
|
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 |
||||
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. |
Purpose
- (1)
This chapter sets out:
- (a)
the notification requirements for a UCITS scheme to be approved as a feeder UCITS under section 283A (Master-feeder structures) of the Act; and
- (b)
the requirements which apply to a feeder UCITS where its master UCITS is wound up, merges with another UCITS or is divided into one or more UCITS.
- (a)
- (2)
This chapter also ensures there is a flow of information and documents between a feeder UCITS and its master UCITS. In particular, it allows the authorised fund manager, depositary and auditor of a feeder UCITS to obtain all information and documents necessary to perform their functions.
- (3)
COLL 11.5 (Auditors) also imposes requirements on auditors of a master UCITS and a feeder UCITS.
- (4)
In this section references to:
- (a)
a UCITS scheme, a feeder UCITS, a master UCITS, or EEA UCITS scheme include the sub-fund of any such scheme and references to winding up a scheme are to be read as also applying to the termination of a sub-fund; and
- (b)
the management company of an EEA UCITS scheme are to the operator of the scheme.
- (a)