| 1 | Checklist: Activities that can be passported under the UCITS ... This checklist sets out the activities that can be passported throughout the European Economic Area under the UCITS IV Directive (2009/65/EC) and the corresponding regulated activities in the UK and the corresponding specified investments to which the activities relate. | Checklists | Maintained |
| 2 | Checklist: Activities that could be passported under the ... This checklist sets out the activities that could be passported throughout the European Economic Area under the Investment Services Directive (93/22/EEC), the corresponding regulated activities in the UK and the corresponding specified investments that the activities related to. On 1 November 2007, the Markets in Financial Instruments Directive (2004/39/EC) (MiFID) repealed and replaced the ISD in the UK. For information on the activities that can be passported under MiFID, see Checklist: Activities that can be passported under the Markets in Financial Instruments Directive. | Checklists | 01-Nov-2007 |
| 3 | Checklist: Categorisation of changes under the Collective ... This checklist sets out whether a fund manager should treat a change proposed to a regulated fund as fundamental, significant or notifiable under the FCA’s Collective Investment Schemes sourcebook (COLL). It also examines the consequences of change categorisation. | Checklists | Maintained |
| 4 | Checklist: Specified investments This checklist sets out the categories of investments specified in Part III of the Financial Services and Markets Act 2000 (Regulated Activities) Order 2001 (SI 2001/544) (RAO). It includes examples of investments and identifies the relevant RAO provisions. For more information, see Practice note, Regulated activities order: overview: specified investments. | Checklists | Maintained |
| 5 | Contents requirements for AUT prospectus: checklist A checklist containing a series of questions to assist when drafting a prospectus for an authorised unit trust (AUT) in the UK. | Checklists | Maintained |
| 6 | Contents requirements for AUT trust deed: checklist A checklist containing a series of questions to assist when drafting a trust deed for an authorised unit trust (AUT) in the UK. | Checklists | Maintained |
| 7 | Contents requirements for OEIC instrument of incorporation ... A checklist containing a series of questions to assist when drafting an instrument of incorporation for an open-ended investment company (OEIC) in the UK. | Checklists | Maintained |
| 8 | Contents requirements for OEIC prospectus: checklist A checklist containing a series of questions to assist when drafting a prospectus for an open-ended investment company (OEIC) in the UK. | Checklists | Maintained |
| 9 | Flowchart: establishing, operating or winding up a collective ... A flowchart setting out the main questions to be asked to determine whether a person is carrying on the regulated activity of establishing, operating or winding up a collective investment scheme; acting as trustee of an authorised unit trust scheme (AUT); or acting as the depository or sole director of an open-ended investment company (OEIC) (together, the article 51 Financial Services and Markets Act 2000 (Regulated Activities) Order (SI 2001/544) (RAO) activity) within the scope of the Financial Services and Markets Act 2000 (FSMA). For further details on this regulated activity see, Practice note, Regulated activities: establishing, operating or winding up a collective investment scheme. | Checklists | Maintained |
| 10 | Flowchart: Promotion of regulated collective investment ... A flowchart setting out the questions to ask to determine whether the financial promotion rules in chapter 4 of the FCA's Conduct of Business rules (COBS 4) apply to a promotion of a regulated collective investment scheme. For more information on the promotion of collective investment schemes, see Practice note, Restrictions on the promotion of collective investment schemes. | Checklists | Maintained |
| 11 | Flowchart: Promotion of unregulated collective investment ... A flowchart setting out the questions to ask to determine whether the financial promotion rules in chapter 4 of the FCA's Conduct of Business rules (COBS 4) apply to a promotion of an unregulated collective investment scheme. For more information on the promotion of collective investment schemes, see Practice note, Restrictions on the promotion of collective investment schemes. | Checklists | Maintained |
| 12 | Key investor information content: checklist A checklist that sets out a series of questions to assist when drafting a key investor information document (KIID) for a UCITS. For an explanation of what a KIID is, and how it should be prepared and disseminated, see Practice note, Key investor information document (KIID). | Checklists | 29-Jan-2013 |
| 13 | Practical points for firms following UK Supreme Court's ... In this checklist, Karen Anderson, Partner, and Sarah Thomas, Senior Associate, in Herbert Smith Freehills' Financial Services Regulatory Group, and Patricia Horton, a professional support lawyer in that group, consider the Supreme Court's February 2012 judgment on the administrators' client money application in the matter of Lehman Brothers International (Europe) (LBIE): Re Lehman Brothers International (Europe) (in administration) [2012] UKSC 6. The judgment has a number of implications for firms that hold client money, as well as for firms that hold money with banks and other firms as clients themselves. For a summary and analysis of the key points of the judgment and its implications, see Article, Lehman client money judgment: Supreme Court upholds Court of Appeal decision. | Checklists | 05-Mar-2012 |