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 III Exercise of Passport Rights by UK Firms

F2Information to be included in the public record

Annotations:
Amendments (Textual)
F2

Sch. 3 para. 25 and preceding cross-heading inserted (14.1.2005) by The Insurance Mediation Directive (Miscellaneous Amendments) Regulations 2003 (S.I. 2003/1473), reg. 7

28F1Management companies: request for information

1

Where a UK firm has applied to manage a UCITS which is established in another EEA State, the home state regulator of the UCITS may—

a

request further information from the F3appropriate UK regulator regarding the documents referred to in Article 20.1 of the UCITS directive, and

b

ask the F3appropriate UK regulator whether the type of UCITS for which the UK firm has applied to provide its services falls within the scope of the authorisation of the UK firm.

2

The F3appropriate UK regulator must respond to a request under sub-paragraph (1)(a) or (b) within 10 working days of the date on which the request was received.