UCITS

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Practice notes
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 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 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)—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 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 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?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 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)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 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 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 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 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 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—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 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 UCITS content

Practice notes
Facilitating cross-border distribution of collective investment fundsThis Practice Note provides an overview of Regulation (EU) 2019/1156 (the...
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15th Sep
Practice notes
Key provisions of UCITS—depositariesThis Practice Note considers the role of depositories of UCITS funds (ie open-ended collective investment schemes...
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Produced in partnership with Macfarlanes 5th Sep
Practice notes
Key provisions of UCITS—UCITS mergersBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit...
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19th Aug
Practice notes
Regulation of Key Investor Information DocumentsObligation on UCITS managersAs a result of Directive 2009/65/EC, known as UCITS IV (the UCITS...
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19th Aug
Practice notes
Key provisions of UCITS—investor informationBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit...
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19th Aug
Practice notes
Key provisions of UCITS—master-feeder structuresBREXIT: 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
Impact of Brexit: UCITS—quick guideThis Brexit Undertakings for Collective Investment in Transferable Securities 2009/65/EC (UCITS) quick guide...
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11th Aug
Practice notes
Complying with the collective investment schemes sourcebook (COLL)BREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the...
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Produced in partnership with Lucy Frew, formerly of Gide Loyrette Nouel LLP 11th Aug
Practice notes
UCITS VIUCITS VIUCITS VI describes the European Commission's Consultation on Undertakings for Collective Investment in Transferable Securities issued...
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Produced in partnership with Andrew Henderson of Macfarlanes 11th Aug
Practice notes
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
UCITS VThe UCITS frameworkThe UCITS Directive is a detailed, harmonised framework for investment funds that can be sold to retail investors throughout...
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Produced in partnership with Michaela Walker, Partner of Eversheds Sutherland LLP 11th Aug
Practice notes
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
Undertakings for Collective Investment in Transferable Securities (UCITS)—essentials BREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’)...
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11th Aug
Practice notes
IFPRU Remuneration CodeBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit transition/implementation period...
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11th Aug
Practice notes
Packaged Retail and Insurance-based Investment Products (PRIIPs)—essentialsBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end...
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31st Jul

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