COLL Sch 1 Record keeping requirements

COLL Transitional Provision 3

Election or revocation to comply with CIS

Details

At election or revocation

6 years

COLL 4.4.11 R (5)

Minutes of meetings (AFM)

Full details

As implicit from the rules in COLL

As implicit from the rules in COLL

COLL 6.2.5 R (1)

Issues and cancellations of units (AFM)

Full details

As implicit from the rules in COLL

As implicit from the rules in COLL

COLL 6.4.6 R (4)

Instruments of Transfer (person responsible for the register)

Full details

From registration

6 years

COLL 6.6.6 R (1)

General record- keeping obligations (AFM)

Such as to demonstrate compliance with the rules in COLL

As implicit from the rules in COLL

6 years

COLL 6.6.6 R (2)

Units held, acquired or disposed of (AFM)

Daily record of units held, acquired or disposed of by the AFM

As implicit in rules in COLL

6 years

COLL 6.6.6 R (3)

Dilution record- keeping obligations (AFM)

How the AFM calculates and estimates dilution and its policy and method for determining the amount of any dilution levy or dilution adjustment

As implicit from the rules in COLL

6 years

COLL 6.6.12 R (3)

General record-keeping obligations (depositary)

Such as to demonstrate compliance with the rules in COLL

As implicit from the rules in COLL

6 years

COLL 8.3.8 R (2)

Minutes of meetings (AFM)

Full details

As implicit from the rules in COLL

6 years

COLL 8.5.2 R (3)(e)

General record keeping obligations (AFM)

Full details

As implicit from the rules in COLL

As implicit from the rules in COLL

COLL 8.5.2 R (3)(f)

Units held, acquired or disposed of (AFM)

Daily record of units held, acquired or disposed of by the AFM

As implicit from the rules in COLL

6 years

COLL 8.5.4 R (2)(h)

General record keeping obligation (depositary)

Full details

As implicit from the rules in COLL

As implicit from the rules in COLL

COLL 8.5.10 R (4)

Issues and cancellations of units (AFM)

Full details

As implicit from the rules in COLL

As implicit from the rules in COLL