COLL Sch 1 Record keeping requirements
1 Record keeping requirements
Handbook reference |
Subject of record |
Contents of record |
When record must be made |
Retention period |
COLL Transitional Provision 3 |
Election or revocation to comply with CIS |
Details |
At election or revocation |
6 years |
Election for early compliance with the instrument |
Details |
At election |
6 years |
|
Minutes of meetings (AFM) |
Full details |
As implicit from the rules in COLL |
||
Issues and cancellations of units (AFM) |
Full details |
|||
Instruments of Transfer (person responsible for the register) |
Full details |
From registration |
6 years |
|
General record- keeping obligations (AFM) |
Such as to demonstrate compliance with the rules in COLL |
6 years |
||
Units held, acquired or disposed of (AFM) |
Daily record of units held, acquired or disposed of by the AFM |
6 years |
||
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 |
6 years |
||
General record-keeping obligations (depositary) |
Such as to demonstrate compliance with the rules in COLL |
6 years3 |
||
Portfolio transactions relating to a UCITS |
Full details |
After transaction |
5 years |
|
Subscription and redemption orders |
Full details |
After receipt of order |
5 years |
|
Records referred to in COLL 6.13.2 R and COLL 6.13.3 R |
Full details |
After termination of authorisation of UCITS management company |
Outstanding term of 5 year period |
|
Minutes of meetings (AFM) |
Full details |
6 years |
||
General record keeping obligations (AFM) |
Full details |
|||
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 |
|
General record keeping obligation (depositary) |
Full details |
|||
Issues and cancellations of units (AFM) |
Full details |
|||
Dealings with an advisory committee |
Details |
5 years |
||
Election to comply with COLL 4.5 or COLL 8.3.5 R to COLL 8.3.5D R as those rules were in force on 5 March 2010 |
Details |
At election |
6 years |