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The Undertakings for Collective Investment in Transferable Securities Regulations 2011

Changes to legislation:

The Undertakings for Collective Investment in Transferable Securities Regulations 2011 is up to date with all changes known to be in force on or before 27 April 2024. There are changes that may be brought into force at a future date. Help about Changes to Legislation

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Revised legislation carried on this site may not be fully up to date. Changes and effects are recorded by our editorial team in lists which can be found in the ‘Changes to Legislation’ area. Where those effects have yet to be applied to the text of the legislation by the editorial team they are also listed alongside the affected provisions when you open the content using the Table of Contents below.

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Changes and effects yet to be applied to :

  1. Introductory Text

  2. PART 1 Citation and Commencement

    1. 1.These Regulations may be cited as the Undertakings for Collective...

  3. PART 2 Amendments to the Financial Services and Markets Act 2000

    1. 2.Amendment of the Financial Services and Markets Act 2000

  4. PART 3 Amendments to secondary legislation

    1. 3.Amendment of the Open-Ended Investment Companies Regulations 2001

    2. 4.Amendment of the Financial Services and Markets Act 2000 (Compensation Scheme: Electing Participants) Regulations 2001

    3. 5.Amendment of the Financial Services and Markets Act 2000 (Disclosure of Confidential Information) Regulations 2001

    4. 6.Amendment of the Financial Services and Markets Act 2000 (Collective Investment Schemes Constituted in other EEA States) Regulations 2001

  5. PART 4 MERGERS

    1. 7.Interpretation

    2. 8.(1) This Part applies to any reconstruction or amalgamation which...

    3. 9.Application for authorisation

    4. 10.Modification of information

    5. 11.Report by depositary or auditor

    6. 12.Right of redemption

    7. 13.Consequences of a merger

    8. 14.Publication of a merger

  6. PART 5 DIVISIONS

    1. 15.Division of a master UCITS

  7. PART 5A DEPOSITARIES

    1. 15A.Interpretation

    2. 15B.Depositary liability: general provisions

    3. 15C.Depositary liability for loss of financial instruments held in custody

    4. 15D.Depositary liability for other losses

  8. PART 5B REQUIREMENTS ON THE FINANCIAL CONDUCT AUTHORITY

    1. 15E.Interpretation

    2. 15F.FCA requirement to share depositary information

    3. 15G.FCA’s ability to refuse to act on requests for information

    4. 15H.Reporting of infringements

    5. 15I.Disclosure of information regarding penalties

  9. PART 6 CONSEQUENTIAL AMENDMENTS AND REVIEW

    1. 16.Consequential amendments

    2. 17.Review

  10. PART 7

    1. 18.Transfer of UCITS directive functions

  11. Signature

    1. Schedule 1

      CONSEQUENTIAL AMENDMENTS

      1. 1.The Financial Services and Markets Act 2000 (Regulated Activities) Order 2001

      2. 2.The Financial Services and Markets Act 2000 (Promotion of Collective Investment Schemes) (Exemptions) Order 2001

      3. 3.The Electronic Commerce Directive (Financial Services and Markets) Regulations 2002

      4. 4.The Reporting of Savings Income Information Regulations 2003

      5. 5.The Financial Conglomerates and Other Financial Groups Regulations 2004

      6. 6.The Montserrat Reporting of Savings Income Information Order 2005

      7. 7.The Financial Services and Markets Act 2000 (Financial Promotion) Order 2005

      8. 8.The Financial Services and Markets Act 2000 (Controllers) (Exemption) Order 2009

    2. SCHEDULE 2

      Directive functions transferred to the Authority

      1. 1.The purposes mentioned in regulation 18 are as follows.

      2. 2.To specify the information to be provided to the Authority...

      3. 3.To specify— (a) the information to be provided to the...

      4. 5.To determine standard forms, templates and procedures for the notification...

      5. 6.To specify the information to be provided to the Authority...

      6. 7.To establish standard forms, templates and procedures for the provision...

      7. 8.To specify the provisions concerning the content of the prospectus,...

      8. 9.To specify the conditions which need to be met by...

  13. Explanatory Note

Yn ôl i’r brig

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