SCHEDULES

C1SCHEDULE 3EEA Passport Rights

Annotations:
Modifications etc. (not altering text)
C1

Sch. 3 extended (with modifications) (1.12.2001) by S.I. 2001/2636, arts. 1(2)(b), 25-27; S.I. 2001/3538, art. 2(1)

Sch. 3 extended (with modifications) (Gibraltar) (5.10.2001 for specified purposes, 1.12.2001 in so far as not already in force) by S.I. 2001/3084, arts. 1(1), 2-4 (as amended (16.6.2014) by The Alternative Investment Fund Managers Order 2014 (S.I. 2014/1292), arts. 1(2), 3 (which amending S.I. is itself amended by S.I. 2014/1313, arts. 1, 2(a)); and as amended (31.12.2020) by S.I. 2019/589, regs. 1(3), 5-9 (with reg. 12) (as amended by S.I. 2020/1274, regs. 1, 2)); S.I. 2001/3538, art. 2(1)

Sch. 3 modified (1.12.2001) by S.I. 2001/3592, arts. 1(2), 114(3)(b), 128(3)(b) (with art. 23(2))

Part II Exercise of Passport Rights by EEA Firms

F1 Power to restrict permission of management companies

Annotations:
Amendments (Textual)

15CF2Information to home state regulator

1

Where an EEA firm falling within paragraph 5(f) has applied to manage a UCITS established in the United Kingdom, the F3appropriate UK regulator, as defined in paragraph 15A(7), must without delay inform the home state regulator of that firm of any problem of which they are aware that may materially affect the ability of the firm—

a

to perform its duties properly, or

b

to comply with the home state rules.

2

In sub-paragraph (1), “ home state rules ” means rules—

a

made by the EEA State concerned in accordance with the UCITS directive; and

b

which are the responsibility of that EEA State (both as to implementation and as to supervision of compliance) in accordance with that directive.