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Undertakings for Collective Investment in Transferable Securities Regulations 2011 [SI 2011 No. 1613]Introductory TextPart 1 Citation and Commencement (reg. 1)Regulation 1Part 2 Amendments to the Financial Services and Markets Act 2000 (reg. 2)Regulation 2 Amendment of the Financial Services and Markets Act 2000Part 3 Amendments to secondary legislation (regs. 3-6)Regulation 3 Amendment of the Open-Ended Investment Companies Regulations 2001Regulation 4 Amendment of the Financial Services and Markets Act 2000 (Compensation Scheme: Electing Participants) Regulations 2001Regulation 5 Amendment of the Financial Services and Markets Act 2000 (Disclosure of Confidential Information) Regulations 2001Regulation 6 Amendment of the Financial Services and Markets Act 2000 (Collective Investment Schemes Constituted in other EEA States) Regulations 2001Part 4 Mergers (regs. 7-14)Interpretation (regs. 7-8)Regulation 7Regulation 8Regulation 9 Application for authorisationRegulation 10 Modification of informationRegulation 11 Report by depositary or auditorRegulation 12 Right of redemptionRegulation 13 Consequences of a mergerRegulation 14 Publication of a mergerPart 5 Divisions (reg. 15)Regulation 15 Division of a master UCITSPart 5A Depositries (regs. 15A-15D)Regulation 15A InterpretationRegulation 15B Depositary liability: general provisionsRegulation 15C Depositary liability for loss of financial instruments held in custodyRegulation 15D Depositary liability for other lossesPart 5B Requirements on the Financial Conduct Authority (regs. 15E-15I)Regulation 15E InterpretationRegulation 15F FCA requirement to share depositary informationRegulation 15G FCA's ability to refuse to act on requests for informationRegulation 15H Reporting of infringementsRegulation 15I Disclosure of information regarding penaltiesPart 6 Consequential amendments and review (regs. 16-17)Regulation 16 Consequential amendmentsRegulation 17 ReviewPart 7 Transfer of UCITS directive functions (reg. 18)Regulation 18 Transfer of UCITS directive functionsSchedule 1 Consequential AmendmentsSchedule 2 Directive functions transferred to the AuthoritySignatureExplanatory NoteExplanatory MemorandumImpact Assessment
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Version status: In force | Document consolidation status: Updated to reflect all known changes
Published date: 30 June 2011

Undertakings for Collective Investment in Transferable Securities Regulations 2011 [SI 2011 No. 1613]

To be revoked by s. 1 and Sch. 1 Pt 2 to the Financial Services and Markets Act 2023 (c. 29) (FSMA 2023), Sch. 1 Pt 2 not yet fully commenced.

Introductory Text
Part 1 Citation and Commencement (reg. 1)
Regulation 1
Part 2 Amendments to the Financial Services and Markets Act 2000 (reg. 2)
Regulation 2 Amendment of the Financial Services and Markets Act 2000
Part 3 Amendments to secondary legislation (regs. 3-6)
Regulation 3 Amendment of the Open-Ended Investment Companies Regulations 2001
Regulation 4 Amendment of the Financial Services and Markets Act 2000 (Compensation Scheme: Electing Participants) Regulations 2001
Regulation 5 Amendment of the Financial Services and Markets Act 2000 (Disclosure of Confidential Information) Regulations 2001
Regulation 6 Amendment of the Financial Services and Markets Act 2000 (Collective Investment Schemes Constituted in other EEA States) Regulations 2001
Part 4 Mergers (regs. 7-14)
Interpretation (regs. 7-8)
Regulation 7
Regulation 8
Regulation 9 Application for authorisation
Regulation 10 Modification of information
Regulation 11 Report by depositary or auditor
Regulation 12 Right of redemption
Regulation 13 Consequences of a merger
Regulation 14 Publication of a merger
Part 5 Divisions (reg. 15)
Regulation 15 Division of a master UCITS
Part 5A Depositries (regs. 15A-15D)
Regulation 15A Interpretation
Regulation 15B Depositary liability: general provisions
Regulation 15C Depositary liability for loss of financial instruments held in custody
Regulation 15D Depositary liability for other losses
Part 5B Requirements on the Financial Conduct Authority (regs. 15E-15I)
Regulation 15E Interpretation
Regulation 15F FCA requirement to share depositary information
Regulation 15G FCA's ability to refuse to act on requests for information
Regulation 15H Reporting of infringements
Regulation 15I Disclosure of information regarding penalties
Part 6 Consequential amendments and review (regs. 16-17)
Regulation 16 Consequential amendments
Regulation 17 Review
Part 7 Transfer of UCITS directive functions (reg. 18)
Regulation 18 Transfer of UCITS directive functions
Schedule 1 Consequential Amendments
Schedule 2 Directive functions transferred to the Authority
Signature
Explanatory Note
Explanatory Memorandum
Impact Assessment
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