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Open-Ended Investment Companies Regulations 2001 [SI 2001 No. 1228]Introductory TextPart I General (regs. 1-2)Regulation 1 Citation, commencement and extentRegulation 2 InterpretationPart II Formation, Supervision and Control (regs. 3-33)General (regs. 3-11)Regulation 3 Open-ended investment companyRegulation 4 Registration by the AuthorityRegulation 5 Safekeeping of scheme property by depositaryRegulation 6 FCA rulesRegulation 7 Modification or waiver of FCA rulesRegulation 8 Notices: generalRegulation 9 PublicationRegulation 10 The Authority's proceduresRegulation 11 The TribunalUmbrella companies (regs. 11A-11B)Regulation 11A Segregated liability of sub-fundsRegulation 11B Cross sub-fund investmentAuthorisation (regs. 12-17)Regulation 12 Applications for authorisationRegulation 13 Particulars of directorsRegulation 14 AuthorisationRegulation 15 Requirements for authorisationRegulation 16 Representations against refusal of authorisationRegulation 17 CertificatesNames (regs. 18-20)Regulation 18 Registrar's approval of namesRegulation 19 Prohibition on certain namesRegulation 20 Registrar's index of company namesAlterations (regs. 21-22A)Regulation 21 The Authority's approval for certain changes in respect of a companyRegulation 22 Procedure when refusing approval of proposed changesRegulation 22A The Authority's approval for conversion of a feeder UCITSEnding of authorisation (regs. 23-24)Regulation 23 Ending of authorisationRegulation 24 ProcedurePowers of intervention (regs. 25-29)Regulation 25 DirectionsRegulation 26 Applications to the courtRegulation 27 Procedure on giving directions under regulation 25 and varying them on Authority's own initiativeRegulation 28 Procedure: refusal to revoke or vary directionRegulation 29 Procedure: revocation of direction and grant of request for variationInformation (regs. 29A-29B)Regulation 29A Information for home state regulatorRegulation 29B Information for feeder UCITSInvestigations (reg. 30)Regulation 30 Power to investigateWinding up (regs. 31-33C)Regulation 31 Winding up by the courtRegulation 32 Dissolution on winding up by the courtRegulation 33 Dissolution in other circumstancesRegulation 33A Winding up of a master UCITSRegulation 33B Merger or division of a master UCITSRegulation 33C Winding up of sub-fundsPart III Corporate Code (regs. 34-70)Organs (regs. 34-44)Regulation 34 DirectorsRegulation 34A Removal of certain directors by ordinary resolutionRegulation 35 Directors to have regard to interests of employeesRegulation 36 Inspection of directors' service contractsRegulation 37 General meetingsRegulation 37A Election to dispense with annual general meetingsRegulation 38 Capacity of companyRegulation 39 Power of directors and general meeting to bind the companyRegulation 40 No duty to enquire as to capacity etc.Regulation 41 Exclusion or deemed noticeRegulation 42 Restraint and ratification by shareholdersRegulation 43 Events affecting company statusRegulation 44 Invalidity of certain transactions involving directorsShares (regs. 45-52)Regulation 45 SharesRegulation 46 Share certificatesRegulation 47 Exceptions from regulation 46Regulation 48 Bearer sharesRegulation 49 Register of shareholdersRegulation 50 Power to close registerRegulation 51 Power of court to rectify registerRegulation 52 Share transfersOperation (regs. 53-65)Regulation 53 Power incidental to carrying on businessRegulation 54 Name to appear in correspondence etc.Regulation 55 Particulars to appear in correspondence etc.Regulation 56 Contracts: England and Wales or Northern IrelandRegulation 57 Execution of documents: England and Wales or Northern IrelandRegulation 58 Execution of deeds or other documents by attorneyRegulation 59 Authentication of documents: England and WalesRegulation 60 Official seal for share certificatesRegulation 61 Personal liability for contracts and deedsRegulation 62 Exemptions from liability to be voidRegulation 63 Power of court to grant relief in certain casesRegulation 64 Punishment for fraudulent tradingRegulation 65 Power to provide for employees on cessation or transfer of businessReports (regs. 66-69)Regulation 66 Reports: preparationRegulation 67 Reports: accountsRegulation 68 Reports: voluntary revisionRegulation 69 AuditorsMergers and divisions (reg. 70)Regulation 70 Mergers and divisionsPart IV The Authority's Registration Functions (regs. 71-79)Regulation 71 Register of open-ended investment companiesRegulation 72 Companies' registered numbersRegulation 73 Delivery of documents to the AuthorityRegulation 74 Keeping of company records by the AuthorityRegulation 75 Inspection etc. of records kept by the AuthorityRegulation 76 Provision by the Authority of documents in electronic formRegulation 77 Documents relating to Welsh open-ended investment companiesRegulation 78 Public notice by the Authority of receipt and issue of certain documentsRegulation 79 Exclusion of deemed noticePart V Miscellaneous (regs. 80-85)Regulation 80 ContraventionsRegulation 81 Offences by bodies corporate etc.Regulation 82 Jurisdiction and procedure in respect of offencesRegulation 83 Evidence of grant of probate etc.Regulation 83A Disclosure under the UCITS directiveRegulation 84 Minor and consequential amendmentsRegulation 85 Revocation etc.Schedule 1 DepositariesSchedule 2 Instrument of IncorporationSchedule 3 Register of ShareholdersSchedule 4 Share TransfersSchedule 5 AuditorsSchedule 6 Mergers and DivisionsSchedule 7 Minor and Consequential AmendmentsSchedule 7, Part I Primary Legislation (paras. 1-11)Schedule 7, Part II Subordinate Legislation (para.12)SignatureExplanatory Note
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Version status: In force | Document consolidation status: Updated to reflect all known changes
Version date: 1 April 2013 - onwards
Version 3 of 3

Regulation 10 The Authority's procedures

Section 395 of the Act (the FCA’s and the PRA’s procedures) applies to the procedure relating to the Authority’s functions in relation to supervisory notices, warning notices and decision notices given under any provision of these Regulations.

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