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Commission Delegated Regulation (EU) 2016/438Dangos y teitl llawn
Commission Delegated Regulation (EU) 2016/438 of 17 December 2015 supplementing Directive 2009/65/EC of the European Parliament and of the Council with regard to obligations of depositaries (Text with EEA relevance)
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Changes over time for: Article 9
Changes to legislation:
Commission Delegated Regulation (EU) 2016/438, Article 9 is up to date with all changes known to be in force on or before 28 January 2026. There are changes that may be brought into force at a future date. Changes that have been made appear in the content and are referenced with annotations.
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Changes and effects yet to be applied to Article 9:
- Regulation revoked by 2023 c. 29 Sch. 1 Pt. 3
Article 9U.K.Cash monitoring — general requirements
[F11.Where a cash account is maintained or opened at an institution falling within paragraph 1A in the name of the investment company or of the management company acting on behalf of the UCITS, the management company or the investment company shall ensure that the depositary is provided, upon commencement of its duties and on an ongoing basis, with all relevant information necessary for having a clear overview of all UCITS' cash flows so that the depositary is able to comply with its obligations.
1A.The following institutions fall within this paragraph:
(a)a central bank;
(b)a CRR firm which is not an investment firm;
(c)a credit institution which has a registered office, or if it has no registered office its head office, in an EEA state, and which would be a CRR firm if:
(i)its registered office, or if it has no registered office, its head office, were in the United Kingdom; and
(ii)it had permission under Part 4A of the Financial Services and Markets Act 2000 to carry on the regulated activity of accepting deposits; or
(d)a bank authorised in a third country.]
2.Upon the depositary's appointment the investment company or the management company shall inform the depositary of all existing cash accounts opened in the name of the investment company, or the management company acting on behalf of the [F2UK UCITS].
3.The investment company or the management company shall ensure that the depositary is provided with all information related to the opening of any new cash account by the investment company, or the management company acting on behalf of the [F2UK UCITS].
Textual Amendments
F1Art. 9(1)(1A) substituted for Art. 9(1) (31.12.2020) by The Collective Investment Schemes (Amendment etc.) (EU Exit) Regulations 2019 (S.I. 2019/325), regs. 1(2), 60(13) (with savings in S.I. 2019/680, reg. 11); 2020 c. 1, Sch. 5 para. 1(1)
F2Word in Regulation substituted (31.12.2020) by The Collective Investment Schemes (Amendment etc.) (EU Exit) Regulations 2019 (S.I. 2019/325), regs. 1(2), 60(2) (with savings in S.I. 2019/680, reg. 11); 2020 c. 1, Sch. 5 para. 1(1)
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