| This schedule sets out the notification requirements detailed in COLL in respect only of notifications to be provided to the FCA. These notification requirements, it should be noted, are in addition to the notifications which must be made to the FCA under section 251 of the Act (Alteration of schemes and changes of manager or trustee), section 261Q of the Act (Alteration of contractual schemes and changes of operator or depositary) and under regulation 21 of the OEIC Regulations (The Authority's approval for certain changes in respect of a company). |
COLL Sch 2 Notification requirements
You are viewing COLL Sch 2 Notification requirements as of . COLL Sch 2 Notification requirements was last updated on 06/04/2026.
COLL Sch 2 Notification requirements
01/07/2013G
06/04/2026G
1 Notification requirements
| Handbook reference | Matter to be notified | Contents of notification | Trigger event | Time allowed |
|---|---|---|---|---|
| COLL Transitional provision 3 | Election or revocation to comply with CIS | Details and the date from which it is to take effect | At election or revocation | Immediate |
| COLL Transitional Provision 14 | Election for early compliance with the instrument | Details and the date from which it is to take effect | At election | Immediate |
| COLL 4.2.3 R (1)(b) | Prospectus and any revisions thereto | Copy provided | Marketing scheme | Before marketing begins |
| COLL 4.2.3A R (1)(b) | Copy of prospectus of the master UCITS | Full details, together with any amendments | On publication | Immediately on publication |
| COLL 4.2.3B R (1) | Prospectus of the qualifying master scheme of a feeder NURS | Copy provided | Upon request by the FCA | Immediate |
| COLL 4.5.14 R (2)(d) | Annual and half yearly reports | Copy of report | End of annual or half-yearly accounting period | Immediately on publication |
| COLL 4.5.15 R (1)(b) | Copies of the annual and half-yearly long reports of the master UCITS | Full details | End of annual or half-yearly accounting period | Immediately on publication |
| COLL 4.5.16 R (1) | Annual and half-yearly long report (or nearest equivalent documents for a qualifying master scheme that is a recognised scheme) of the qualifying master scheme of a feeder NURS | Copy provided | Upon request by the FCA | Immediate |
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| COLL 6.5.3 R (5) | Change of ACD, directors or controller of ACD or a corporate director | Details | Occurrence | Immediate |
| COLL 6.6.7 R | Capital of ICVC | Details if capital: (a) falls below minimum or(b) exceeds maximum | Occurrence | Immediate |
| COLL 6.9.11 R | Change to ICVC or to one of its officers | Details | Occurrence | 14 days |
| COLL 6.12.3 R | Risk management process | Details in COLL 6.12.3 R (2)(a) and COLL 6.12.3 R (2)(b) and any material alterations thereof | On first use of process | On a regular basis and at least annually |
| COLL 6.12.6R(2) | Material change to the risk management process | Full details of change | On first use of amended process | Immediate |
| COLL 7.2.1 R (2) & COLL 7.2.1R (5) | Suspension or resumption of dealing | Details including reason for suspension | Occurrence | Immediate |
| COLL 7.3.5 R (5) | Winding up a solvent ICVC or terminating a solvent ICVC sub-fund (Directors) | Solvency statement | Winding up a solvent ICVC or ICVC sub-fund | Within 21 days of notice given under regulation 21 of OEIC Regulations |
| COLL 7.3.7 R (9) | Winding up a solvent ICVC or sub-fund of an ICVC (Depositary) | Completion of winding up or termination of a sub-fund | Winding up a solvent ICVC or ICVC sub-fund | As soon as reasonably practical after winding up completed |
| COLL 7.3.8 R (6) | Winding up a solvent ICVC (ACD) | Final accounts | Completion of winding up | Four months |
| COLL 7.3.8 R (6) | Winding up a solvent ICVC sub-fund (ACD) | Termination account and auditor's report | Termination of sub-fund | Four months |
| COLL 7.4.4R (6) | Winding up of an AUT or an AUT sub-fund (Trustee) | Completion of winding up | Winding up of an AUT | Immediate |
| COLL 7.4.5 R (5) | Winding up an AUT or AUT sub-fund | Annual reports of the manager and trustee | End of final accounting period | Four months |
| COLL 7.4A.5 R (5) | Winding up a solvent ACS or terminating a solvent sub-fund of a co-ownership scheme (Authorised contractual scheme manager) | Solvency statement | Winding up a solvent ACS or terminating a solvent sub-fund of a co-ownership scheme | Within 21 days of notice under section 261Q of the Act or within 21 days of request under section 261W of the Act. |
| COLL 7.4A.6 R (6) | Winding up a solvent ACS or terminating a solvent sub-fund of a co-ownership scheme (Depositary) | Completion of winding up | Winding up | Immediate |
| COLL 7.4A.9 R (7) | Winding up a solvent ACS or terminating a solvent sub-fund of a co-ownership scheme | Annual reports of authorised contractual scheme manager and depositary | End of final accounting period | Four months |
| COLL 7.7.22 R | Confirmation of the completion of the merger transfer | Details of completion | On completion of transfer | Immediate |
| COLL 7.8.37R | Suspension or resumption of dealing | Details including reason for suspension | Occurrence | Immediate |
| COLL 8.3.2 R | Prospectus and revisions | Full documents | Before marketing commences | Immediate |
| COLL 8.3.5 R (6) | Annual and half yearly reports | Copy of report | End of annual or half-yearly accounting period | Immediately on publication |
| COLL 8.6.3 R (3) & COLL 8.6.3 R (5) | Suspension or resumption of dealing (AFM) | Details including reason for suspension | Occurrence | Immediate |
| COLL 9.3.1 D | Notification of a scheme constituted in a designated territory | Prescribed details | Intention to market scheme in UK | As implicit from rules in COLL |
| COLL 9.3.1 D | Application under section 272 of the Act | Details | Intention to market scheme in the UK | Up to 6 months before commencing marketing |
| COLL 9.3.5D | Annual certificate of compliance for a scheme recognised under section 272 of the Act | Details in COLL 9.3.5D(1) | Date on which the annual report and accounts of the scheme is (or is due to be) published (see COLL 9.3.5D(2)) | One month |
| COLL 11.3.9 R | Identity of investing feeder UCITS | Full details | After investment | Immediate |
| COLL 11.4.3 R | Notification of irregularities relating to a master UCITS | Full details | Detection | Immediate |
| COLL 14.2.1R | Registration as a charity with the Charity Commission | Details | On registering as a charity with the Charity Commission | Without undue delay |
| COLL 14.2.2R | De-registration as a charity with the Charity Commission | Details | On de-registering as a charity with the Charity Commission | Without undue delay |
| COLL 15.4.2R | Prospectus and revisions | Full documents | Before marketing commences | Immediate |
| COLL 15.5.2R(5) | Annual, half yearly and quarterly reports | Copy of report | End of annual or half-yearly accounting period, or quarterly reporting period | Immediately on publication |
| COLL 15.10.3R(3) and (8) | Suspension and resumption of dealing (AFM) | Details, including reason for suspension | Occurrence | Immediate |