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Status: You are viewing the version of the handbook as on 2009-03-31.

COLL 9.2 Section 264 recognised schemes

Information and documents to be supplied with a section 264 notification

COLL 9.2.1G
  1. (1)

    If the operator of a collective investment scheme constituted in a EEA State gives notice to the FSA under section 264 of the Act, it should include the information described in paragraphs (2) to (4) below (see the Financial Services and Markets Act 2000 (Collective Investment Schemes Constituted in Other EEA States) Regulations 2001 (SI 2001/2383), as amended).

  2. (2)

    The documents must be in English, or accompanied by a translation in English.

  3. (3)

    The documents should be certified by the operator to be true copies of the original.

  4. (4)

    The FSA will need the following information and documentation in connection with the notification:

    1. (a)

      the name of the scheme;

    2. (b)

      the legal form of the scheme;

    3. (c)

      the name and address of the operator;

    4. (d)

      the address of the place in the United Kingdom for the service on the operator of notices or other documents;

    5. (e)

      the name and address of any supervisory authority or authorities to which the operator is subject in the EEA State in which it is established;

    6. (f)

      whether the operator intends to market the scheme in the United Kingdom in a manner which will involve it carrying on a regulated activity in the United Kingdom;

    7. (g)

      the name and address of the depositary;

    8. (h)

      the address in the United Kingdom where the scheme facilities (see COLL 9.4) will be maintained;

    9. (i)

      details of the arrangements for the marketing of units in the United Kingdom, namely:

      1. (i)

        the proposed commencement date;

      2. (ii)

        whether the units will be sold by or through any employed sales force, authorised persons, or unsolicited calls;

    10. (j)

      the attestation or certificate from the authorities of the EEA State in which the scheme is authorised which demonstrates that the scheme complies with the UCITS Directive;

    11. (k)

      a copy of the instrument constituting the scheme;

    12. (l)

      a copy of the prospectus and the simplified prospectus of the scheme; and

    13. (m)

      a copy of the latest annual report and any subsequent half-yearly report.