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SUP 13A Annex 3 EEA UCITS management companies: application for approval to manage a UCITS scheme established in the United Kingdom


1Under paragraph 15A(1) of Part II of Schedule 3 to the Act, an EEA UCITS management company intending to exercise an EEA right to provide collective portfolio management services for a UCITS scheme must, before it undertakes that activity, obtain the FCA's3 approval to manage that UCITS scheme. Firms should use the application form below for this purpose. Firms may cross refer to other sources where the information has already been provided to the FCA.3


Application by an EEA UCITS management company to manage one or more UCITS schemes established in the United Kingdom (paragraph 15A(1) of Part II of Schedule 3 to the Financial Services and Markets Act 2000).

Name and registered address of management company:

Contact details for the person submitting the application (including telephone number and email address):

EEA State in which management company is authorised:

Details of competent authority providing authorisation of the management company:

Set out details of the scope of authorisation of the management company including the type of funds for which authorisation to manage has been obtained and any limitations that apply to the authorisation:

Name of each UCITS scheme to which this application for approval relates:

Is the management company authorised to manage the type of UCITS scheme to which this approval relates? If not provide details:

Has the management company submitted the information required by COLL 12.3.4 R (Provision of documentation to the FCA:3EEA UCITS management companies), including the depositary agreement and information on delegation arrangements? Provide details:


Signed by:



When completed send this form to:

3Investment Funds Team

The Financial Conduct Authority

25 the North Colonnade

London. E14 5HS

Or electronically to: