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Collective investment schemes (CIS)

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Latest Financial Services News

End of insolvency temporary provisions—introduction of new temporary provisions

End of insolvency temporary provisions—introduction of new temporary provisions

The following Banking & Finance news provides comprehensive and up to date legal information on End of insolvency temporary provisions—introduction of new temporary provisions

Financial Services weekly highlights—16 September 2021

Financial Services weekly highlights—16 September 2021

The following Financial Services news provides comprehensive and up to date legal information on Financial Services weekly highlights—16 September 2021

NatWest’s UK money laundering court case delayed once again

NatWest’s UK money laundering court case delayed once again

The following Corporate Crime news provides comprehensive and up to date legal information on NatWest’s UK money laundering court case delayed once again

Coronavirus (COVID-19) BI update—denial of access—access granted? (Policyholders v China Taiping)

Coronavirus (COVID-19) BI update—denial of access—access granted? (Policyholders v China Taiping)

The following Arbitration news provides comprehensive and up to date legal information on Coronavirus (COVID-19) BI update—denial of access—access granted? (Policyholders v China Taiping)

Featured Financial Services content

Multilateral Trading Facilities (MTFs)

Multilateral Trading Facilities (MTFs)

Multilateral Trading Facilities (MTFs)BREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit...

Insurance conduct regulation—COBS and ICOBS

Insurance conduct regulation—COBS and ICOBS

Insurance conduct regulation—COBS and ICOBSBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit...

What is electronic money?

What is electronic money?

What is electronic money?BREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit transition/implementation period...

European Insurance and Occupational Pensions Authority (EIOPA)

European Insurance and Occupational Pensions Authority (EIOPA)

European Insurance and Occupational Pensions Authority (EIOPA)BREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the...

Practice notes

Financial Conduct Authority—Principles for Businesses (PRIN)

Financial Conduct Authority—Principles for Businesses (PRIN)This Practice Note explains the Principles for Businesses (PRIN) set down by the Financial...
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19th May
Practice notes

Exempt consumer credit agreements under the FSMA 2000 (Regulated Activities) Order 2001

Exempt consumer credit agreements under the FSMA 2000 (Regulated Activities) Order 2001This Practice Note seeks to explain the types of agreements...
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Produced in partnership with Rebecca Kellner of Orrick, Herrington & Sutcliffe and Jacqui Hatfield of Orrick, Herrington & Sutcliffe 19th May
Practice notes

Interaction between the PRA, FCA and FPC

Interaction between the PRA, FCA and FPCBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit...
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19th May
Practice notes

Second Wire Transfer Regulation (EU WTR2 and UK WTR2)—essentials

Second Wire Transfer Regulation (EU WTR2 and UK WTR2)—essentialsThe Second Wire Transfer Regulation (EU) 2015/847 (WTR2), also known as the Funds...
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19th May
Practice notes

Overview of UK implementation of the Consumer Credit Directive

Overview of UK implementation of the Consumer Credit DirectiveBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the...
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Produced in partnership with Sam Millar of DLA Piper and Tony Katz of DLA Piper 19th May
Practice notes

FCA client money rules

FCA client money rulesBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit transition/implementation period...
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19th May
Practice notes

What are regulated activities?

What are regulated activities?Under the general prohibition a person cannot carry out a regulated activity, or purport to carry out a regulated...
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19th May
Practice notes

FCA client classification requirements

FCA client classification requirementsBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit...
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19th May
Practice notes

SM&CR—Statements of Responsibility (SoRs)

SM&CR—Statements of Responsibility (SoRs)Banks, building societies, credit unions, PRA-regulated investment firms and insurers are required to file a...
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19th May
Practice notes

EMIR REFIT and EMIR 2.2 roadmap

EMIR REFIT and EMIR 2.2 roadmapRegulation (EU) 2019/834 (OJ L 141/42) (EU EMIR REFIT) was published in the Official Journal of the EU on 28 May 2019...
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19th May
Practice notes

The European Systemic Risk Board

The European Systemic Risk BoardBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit transition/implementation...
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19th May
Practice notes

The Financial Services Compensation Scheme

The Financial Services Compensation SchemeBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit...
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Produced in partnership with Honor Levy of LexisNexis 19th May
Practice notes

Financial Services Compensation Scheme (FSCS)—the qualifying conditions for compensation

Financial Services Compensation Scheme (FSCS)—the qualifying conditions for compensationThis Practice Note covers the conditions necessary for the...
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Produced in partnership with Honor Levy of LexisNexis 19th May
Practice notes

The Single Rulebook

The Single RulebookBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit transition/implementation period entered...
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Produced in partnership with DLA Piper 19th May
Practice notes

Unregulated collective investment schemes—essentials

Unregulated collective investment schemes—essentialsWhat are unregulated collective investment schemes?In the UK, an unregulated collective investment...
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Produced in partnership with Lora Froud of Macfarlanes 19th May
Practice notes

Responsible lending requirements—CONC 5

Responsible lending requirements—CONC 5BREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit...
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Produced in partnership with Jacqui Hatfield of Orrick, Herrington & Sutcliffe 19th May

Most recent Collective investment schemes (CIS) content

Precedents

Limited partnership agreement—private fund limited partnership

Limited partnership agreement—private fund limited partnershipThis limited partnership Agreement is made on [insert day and month] 20 [insert...
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12th Aug
Q&As

Are there procedures under English law for dealing with situations where a conflict arises between the interests of the limited partners of an English limited partnership and the general partner/investment manager/investment adviser of that same partnership? If not, how would a limited partnership cater for situations where any such conflict arises, eg in the limited partnership agreement?

Are there procedures under English law for dealing with situations where a conflict arises between the interests of the limited partners of an English...
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Produced in partnership with MJ Hudson 12th Aug
Practice notes

Regulated collective investment schemes

Regulated collective investment schemesBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit...
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Produced in partnership with Lucy Frew, formerly of Gide Loyrette Nouel LLP 11th Aug
Practice notes

Recognised collective investment schemes [Archived]

Recognised collective investment schemes [Archived]BREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit...
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Produced in partnership with Macfarlanes 11th Aug
Practice notes

Promotion of unregulated collective investment schemes (UCIS)

Promotion of unregulated collective investment schemes (UCIS)BREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit...
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11th Aug
Practice notes

UCITS, collective investment scheme and alternative investment fund regulated activities

UCITS, collective investment scheme and alternative investment fund regulated activitiesFSMA 2000 activities and investmentsUnder section 19 of...
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11th Aug
Practice notes

Unregulated collective investment schemes—essentials

Unregulated collective investment schemes—essentialsWhat are unregulated collective investment schemes?In the UK, an unregulated collective investment...
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Produced in partnership with Lora Froud of Macfarlanes 11th Aug
Practice notes

The Overseas Funds Regime

The Overseas Funds RegimeThe Financial Services Act 2021 (FSA 2021) introduces a new overseas funds regime (OFR) for recognition of non-UK retail...
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Produced in partnership with André Wint (independent consultant, Merlys) 11th Aug
Practice notes

Collective investment schemes—one minute guide

Collective investment schemes—one minute guideThis one minute guide provides a brief summary of the key regulatory requirements for collective...
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11th Aug
Practice notes

Collective investment schemes—essentials

Collective investment schemes—essentialsThis Practice Note examines the definition of a collective investment scheme (CIS) and available exemptions,...
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11th Aug
Practice notes

COBS 4—exemptions in relation to UCIS and close substitutes

COBS 4—exemptions in relation to UCIS and close substitutesBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit...
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11th Aug
Practice notes

Promotion of regulated collective investment schemes

Promotion of regulated collective investment schemesBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit...
Read More >
11th Aug
Q&As

Are property investment arrangements collective investment schemes?

Are property investment arrangements collective investment schemes?BREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the...
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11th Aug
Q&As

If HMRC withdraws the tax relief from an enterprise investment scheme and they investigate the company and decide it doesn't meet the requirements of the scheme, what liabilities would financial advisors face who facilitate investment in these schemes?

If HMRC withdraws the tax relief from an enterprise investment scheme and they investigate the company and decide it doesn't meet the requirements of...
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11th Aug
Q&As

There is no definition of ‘group’ in paragraph 10 of the Schedule to the Financial Services and Markets Act 2000 (Collective Investment Schemes) Order 2001, SI 2001/1062. Which definition of ‘group’ should be used? That found in section 421 of the Financial Services and Markets Act 2000 or another?

There is no definition of ‘group’ in paragraph 10 of the Schedule to the Financial Services and Markets Act 2000 (Collective Investment Schemes) Order...
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11th Aug
Q&As

On the 'debt issues' exemption for collective investment schemes, what amounts to an 'instrument creating or acknowledging indebtedness'?

On the 'debt issues' exemption for collective investment schemes, what amounts to an 'instrument creating or acknowledging indebtedness'?A collective...
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11th Aug

Popular documents

What is a third party debt order (TPDO)?

What is a third party debt order (TPDO)?

What is a third party debt order (TPDO)?This Practice Note explains what a third party debt order (TPDO) (previously known as garnishee orders) is as a means of enforcing a judgment debt, with reference to CPR 72. The order directs a third party who owes money to the judgment debtor to pay that

Provisional sums

Provisional sums

Provisional sumsWhat are provisional sums?There is no precise standard definition of provisional sum but it is generally understood to refer to an amount inserted in a bill of quantities, or contract sum analysis, to cover certain items of work that cannot be accurately defined, detailed or valued

Perverting the course of justice

Perverting the course of justice

Perverting the course of justiceElements of the offence of perverting the course of justicePerverting the course of justice is a common law offence which can only be tried on indictment in the Crown Court. The elements of the offence are:•a person acts or embarks on a course of conduct•which has a

Sentencing fraud offences committed by individuals

Sentencing fraud offences committed by individuals

Sentencing fraud offences committed by individualsThe Sentencing Council (SC) has produced sentencing guidelines for fraud offences under the Fraud Act 2006 (fraud by false representation, fraud by failing to disclose information and fraud by abuse of position), false accounting under section 17 of