Date-stamp loading
Version status: In force | Document consolidation status: Updated to reflect all known changes
Published date: 27 March 2001

Open-Ended Investment Companies Regulations 2001 [SI 2001 No. 1228]

Comparing proposed amendment...
Introductory Text
Part I General (regs. 1-2)
In force
Regulation 1 Citation, commencement and extent
In force
Regulation 2 Interpretation
Part II Formation, Supervision and Control (regs. 3-33)
General (regs. 3-11)
In force
Regulation 3 Open-ended investment company
In force
Regulation 4 Registration by the Authority
In force
Regulation 5 Safekeeping of scheme property by depositary
In force
Regulation 6 FCA rules
In force
Regulation 7 Modification or waiver of FCA rules
In force
Regulation 8 Notices: general
In force
Regulation 9 Publication
In force
Regulation 10 The Authority's procedures
Omitted
Regulation 11 The Tribunal
Umbrella companies (regs. 11A-11B)
In force
Regulation 11A Segregated liability of sub-funds
In force
Regulation 11B Cross sub-fund investment
Authorisation (regs. 12-17)
In force
Regulation 12 Applications for authorisation
In force
Regulation 13 Particulars of directors
In force
Regulation 14 Authorisation
In force
Regulation 15 Requirements for authorisation
In force
Regulation 16 Representations against refusal of authorisation
In force
Regulation 17 Certificates
Names (regs. 18-20)
In force
Regulation 18 Registrar's approval of names
In force
Regulation 19 Prohibition on certain names
In force
Regulation 20 Registrar's index of company names
Alterations (regs. 21-22A)
In force
Regulation 21 The Authority's approval for certain changes in respect of a company
In force
Regulation 22 Procedure when refusing approval of proposed changes
In force
Regulation 22A The Authority's approval for conversion of a feeder UCITS
Ending of authorisation (regs. 23-24)
In force
Regulation 23 Ending of authorisation
In force
Regulation 24 Procedure
Powers of intervention (regs. 25-29)
In force
Regulation 25 Directions
In force
Regulation 26 Applications to the court
In force
Regulation 27 Procedure on giving directions under regulation 25 and varying them on Authority's own initiative
In force
Regulation 28 Procedure: refusal to revoke or vary direction
In force
Regulation 29 Procedure: revocation of direction and grant of request for variation
Information (regs. 29A-29B)
Omitted
Regulation 29A Information for home state regulator
In force
Regulation 29B Information for feeder UCITS
Investigations (reg. 30)
In force
Regulation 30 Power to investigate
Winding up (regs. 31-33C)
In force
Regulation 31 Winding up by the court
In force
Regulation 32 Dissolution on winding up by the court
In force
Regulation 33 Dissolution in other circumstances
In force
Regulation 33A Winding up of a master UCITS
In force
Regulation 33B Merger or division of a master UCITS
In force
Regulation 33C Winding up of sub-funds
Part III Corporate Code (regs. 34-70)
Organs (regs. 34-44)
In force
Regulation 34 Directors
In force
Regulation 34A Removal of certain directors by ordinary resolution
In force
Regulation 35 Directors to have regard to interests of employees
In force
Regulation 36 Inspection of directors' service contracts
In force
Regulation 37 General meetings
In force
Regulation 37A Election to dispense with annual general meetings
In force
Regulation 38 Capacity of company
In force
Regulation 39 Power of directors and general meeting to bind the company
In force
Regulation 40 No duty to enquire as to capacity etc.
Omitted
Regulation 41 Exclusion or deemed notice
In force
Regulation 42 Restraint and ratification by shareholders
In force
Regulation 43 Events affecting company status
In force
Regulation 44 Invalidity of certain transactions involving directors
Shares (regs. 45-52)
In force
Regulation 45 Shares
In force
Regulation 46 Share certificates
In force
Regulation 47 Exceptions from regulation 46
In force
Regulation 48 Bearer shares
In force
Regulation 49 Register of shareholders
Omitted
Regulation 50 Power to close register
In force
Regulation 51 Power of court to rectify register
In force
Regulation 52 Share transfers
Operation (regs. 53-65)
In force
Regulation 53 Power incidental to carrying on business
In force
Regulation 54 Name to appear in correspondence etc.
In force
Regulation 55 Particulars to appear in correspondence etc.
In force
Regulation 56 Contracts: England and Wales or Northern Ireland
In force
Regulation 57 Execution of documents: England and Wales or Northern Ireland
In force
Regulation 58 Execution of deeds or other documents by attorney
Omitted
Regulation 59 Authentication of documents: England and Wales
In force
Regulation 60 Official seal for share certificates
In force
Regulation 61 Personal liability for contracts and deeds
In force
Regulation 62 Exemptions from liability to be void
In force
Regulation 63 Power of court to grant relief in certain cases
In force
Regulation 64 Punishment for fraudulent trading
In force
Regulation 65 Power to provide for employees on cessation or transfer of business
Reports (regs. 66-69)
In force
Regulation 66 Reports: preparation
In force
Regulation 67 Reports: accounts
In force
Regulation 68 Reports: voluntary revision
In force
Regulation 69 Auditors
Mergers and divisions (reg. 70)
In force
Regulation 70 Mergers and divisions
Part IV The Authority's Registration Functions (regs. 71-79)
In force
Regulation 71 Register of open-ended investment companies
In force
Regulation 72 Companies' registered numbers
In force
Regulation 73 Delivery of documents to the Authority
In force
Regulation 74 Keeping of company records by the Authority
In force
Regulation 75 Inspection etc. of records kept by the Authority
In force
Regulation 76 Provision by the Authority of documents in electronic form
In force
Regulation 77 Documents relating to Welsh open-ended investment companies
Omitted
Regulation 78 Public notice by the Authority of receipt and issue of certain documents
Omitted
Regulation 79 Exclusion of deemed notice
Part V Miscellaneous (regs. 80-85)
In force
Regulation 80 Contraventions
In force
Regulation 81 Offences by bodies corporate etc.
In force
Regulation 82 Jurisdiction and procedure in respect of offences
In force
Regulation 83 Evidence of grant of probate etc.
In force
Regulation 83A Disclosure under the UCITS directive
In force
Regulation 84 Minor and consequential amendments
In force
Regulation 85 Revocation etc.
In force
Schedule 1 Depositaries
In force
Schedule 2 Instrument of Incorporation
In force
Schedule 3 Register of Shareholders
In force
Schedule 4 Share Transfers
In force
Schedule 5 Auditors
In force
Schedule 6 Mergers and Divisions
Schedule 7 Minor and Consequential Amendments
In force
Schedule 7, Part I Primary Legislation (paras. 1-11)
Revoked
Schedule 7, Part II Subordinate Legislation (para.12)
Signature
Explanatory Note