The Financial Conduct Authority (FCA) has published various new forms which may be used by collective investment schemes or insurance undertakings for requesting a waiver from noted FCA rules and obligations. Specifically,
– new Form „Modification by consent of COLL 5.6.22R – Direction“ enables „managers and depositaries of authorised funds that invest in immovable property to provide guarantees and indemnities to third parties where required by the terms of the purchase to do so“;
– new Form „Modification by Consent: COBS 8.1.1R“ enables „Child Trust Funds (CTFs) providers to move matured CTFs to a protected account or by bulk transfer to a new provider“; and
– new Form „Modification-by-consent-of-sup-16-23a-6-direction“ enables „the Employer’s Liability Tracing Office (ELTO) to be classed as ‚an auditor‘ for the purposes of ICOBS 8.4.4R (1) (C)“.
Modification by consent of COLL 5.6.22R – Direction [docx] Modification by Consent: COBS 8.1.1R [docx] modification-by-consent-of-sup-16-23a-6-direction.docx [docx]
ID
24896
Other Features
auditing
CIS
custodian
fund management
insurance
real estate
Date Published: 2023-09-11
Regulatory Framework: FCA Handbook
Regulatory Type: form
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