Regulations & laws

Financial Conduct Authority: Investment Funds Sourcebook (FUND) and Collective Investment Schemes Sourcebook (COLL): Sch 1

The FCA’s Investment Funds Sourcebook (FUND) and Collective Investment Schemes Sourcebook (COLL) set out requirements for managers and depositories of authorised and unauthorised investment funds. Record keeping requirements inlcude those relating to minutes of meetings, records of units held. acquired or disposed of, subscription and redemption orders, issues and cancellations of units and overall general record keeping obligations to evidence compliance with rules and, for alternative investment funds, details of assets that are not custodial assets.

 

To view the FCA’s table of recordkeeping requirements found in COLL: www.handbook.fca.org.uk/handbook/COLL/Sch/1/1.html
Link to Handbook https://www.handbook.fca.org.uk/handbook/COLL

 

LS Consultancy assumes no liability for the accuracy or completeness of this information. Please refer to the applicable regulators website for specific information on specific rules and regulations and how they apply to your business.

 

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Regulations & laws

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