Collective Investment Schemes Rules 2010 (COLL)

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Collective Investment Schemes Rules 2010 (COLL)
COLL Chapter 1:
General Provisions
COLL Part 1.1 Introductory
COLL Part 1.2 Basic Concepts and Key Terms — All Schemes
COLL Part 1.3 Basic Concepts and Key Terms — QFC Schemes
COLL Part 1.4 Basic Concepts and Key Terms — Non-QFC Schemes
COLL Chapter 2:
Registration of Schemes in QFC
COLL 2.1.1 Schemes Established in QFC Must be Registered
COLL 2.1.2 Application for Registration of Scheme Established in QFC
COLL 2.1.3 Decision on Application for Registration of Scheme Established in QFC
COLL Chapter 3:
Constitutional Requirements — QFC Schemes
COLL Part 3.1 Constitutional Document — QFC Schemes
COLL Part 3.2 Units — QFC Schemes
COLL Chapter 4:
The Operator and Independent Entity — QFC Schemes
COLL Part 4.1 The Operator — All QFC Schemes
COLL Part 4.2 The Independent Entity — QFC Schemes
COLL Part 4.3 Operator and Independent Entity Other Provisions — All QFC Schemes
COLL Chapter 5:
Investor Relations — QFC Schemes
COLL Part 5.1 Transactions with Affected Persons
COLL Part 5.2 Prospectus Requirements — QFC Schemes
COLL Part 5.3 Prospectus Responsibility — QFC Schemes
COLL Part 5.4 Unitholder Approval and Notice — QFC Schemes
COLL Part 5.5 Unitholder Meetings — QFC Schemes
COLL Part 5.6 Reports, Accounts and Auditors — QFC Retail Schemes
COLL Chapter 6:
Investment and Borrowing — QFC Qualified Investor Schemes
COLL Part 6.1 Investment and borrowing generally — QFC qualified investor schemes
COLL Part 6.2 Particular kinds of Investments and Transactions — QFC Qualified Investor Schemes
COLL Part 6.3 Stock Lending and Repos — QFC Qualified Investor Schemes
COLL Part 6.4 Borrowing — QFC Qualified Investor Schemes
COLL Chapter 7:
Investment and Borrowing — QFC Retail Schemes
COLL Part 7.1 Investment and borrowing introduction — QFC retail schemes
COLL Part 7.2 Investments Generally — QFC Retail Schemes
COLL Part 7.3 Investment Diversification — QFC Retail Schemes
COLL Part 7.4 Particular kinds of Investments — QFC Retail Schemes
COLL Part 7.5 Exposure for derivatives and forward transactions — QFC retail schemes
COLL Part 7.6 Stock Lending and Repos — QFC Retail Schemes
COLL Part 7.7 Cash, Borrowing, Lending and Other Provisions — QFC Retail Schemes
COLL Chapter 8:
Operating Duties and Responsibilities — QFC Schemes
COLL Part 8.1 Dealing — QFC Schemes
COLL Part 8.2 Valuation and Pricing — QFC Schemes
COLL Part 8.3 Title and Register — QFC Schemes
COLL Part 8.4 Operator and Independent Entity Appointment and Removal — QFC Schemes
COLL Part 8.5 Outsourcing — QFC Schemes
COLL Part 8.6 Payments — QFC Schemes
COLL Part 8.7 Accounting Periods — QFC Schemes
COLL Part 8.8 Income Allocation and Distribution — QFC Schemes
COLL Part 8.9 Names — QFC Schemes
COLL Part 8.10 Shari'a Supervisory Board — All Islamic Funds
COLL Chapter 9:
Suspension, Winding up and Transfer Schemes — QFC Schemes
COLL Part 9.1 Suspension and Restart of Dealings — QFC Schemes
COLL Part 9.2 Winding up — QFC Schemes
COLL Part 9.3 Transfer Schemes — QFC Schemes
COLL Chapter 10:
Financial Promotions and Investment Activities — All Schemes
COLL Part 10.1 Financial Promotions Generally — All Schemes
COLL Part 10.2 Financial Promotions — Non-QFC Schemes
COLL Part 10.3 Additional Retail Customer Requirements — Non-QFC Retail Customer Schemes
COLL Chapter 11:
Other Provisions
COLL Part 11.1 General
COLL Part 11.2 Fees — QFC Schemes
COLL Part 11.3 Providing Scheme Administration — Non-QFC Schemes
COLL Chapter 12:
QFC retail property funds
COLL Part 12.1 General
COLL Part 12.2 Constitutional document and prospectus — QFC retail property funds
COLL Part 12.3 Custody, joint ownership and intermediate holding vehicles — QFC retail property funds
COLL Part 12.4 Standing independent valuer — QFC retail property funds
COLL Part 12.5 Investments — QFC retail property funds
COLL Part 12.6 Real estate investment trusts
COLL Schedule 1:
Arrangements not Collective Investment Schemes
COLL S1.1 Individual Investment Management Arrangements
COLL S1.2 Pure Deposit-Based Arrangements
COLL S1.3 Arrangements not Operated by Way of Business
COLL S1.4 Debt Issues
COLL S1.5 Common Accounts
COLL S1.6 Arrangements Entered into for Commercial Purposes Related to Existing Businesses
COLL S1.7 Group Arrangements
COLL S1.8 Franchise Arrangements
COLL S1.9 Timeshare Arrangements
COLL S1.10 Other Arrangements Relating to Use or Enjoyment of Property
COLL S1.11 Arrangements Involving Issue of Certificates Representing Investments
COLL S1.12 Clearing Services
COLL S1.13 Contracts of Insurance
COLL S1.14 Corporations
COLL S1.15 Partnerships
COLL S1.16 Profit Sharing Investment Accounts
COLL Schedule 2:
Constitutional Document Content — QFC Schemes
COLL Part S2.1 Constitution Requirements — All QFC Schemes
COLL Part S2.2 Extra Constitution Requirement — Qualified Investor Schemes
COLL Part S2.3 Extra Constitution Requirements — UCITS Type Schemes
COLL Part S2.4 Extra Constitution Requirements — Money-Market Funds
COLL Schedule 3:
Prospectus Content — QFC Qualified Investor Schemes
COLL S3.1 Document Status
COLL S3.2 Description of Scheme Etc
COLL S3.3 Islamic Funds
COLL S3.4 Investment Objectives and Policy Etc
COLL S3.5 Distributions, Accounting Dates Etc
COLL S3.6 Characteristics of Units in the Scheme
COLL S3.7 Operator
COLL S3.8 Independent Entity
COLL S3.9 Investment Adviser and Standing Independent Valuer
COLL S3.10 Auditor
COLL S3.11 Register of Unitholders
COLL S3.12 Payments Out of Scheme Property
COLL S3.13 Dealing
COLL S3.14 Valuation and Pricing
COLL S3.15 Issue and Redemption Charges
COLL S3.16 General Information
COLL S3.17 Mandatory Statement About Prospectus
COLL S3.18 Additional Information for Feeder Funds
COLL S3.19 Additional Information for Fund of Funds
COLL S3.20 Additional Statements and Information for Property Funds
COLL S3.21 Information on Umbrella Schemes
COLL S3.22 Application of Prospectus Contents to Umbrella Schemes
COLL Schedule 4:
Prospectus Content — QFC Retail Schemes
COLL S4.1 Document Status
COLL S4.2 Description of Scheme Etc
COLL S4.3 Islamic Funds
COLL S4.4 Investment Objectives and Policy Etc
COLL S4.5 Distributions, Accounting Dates Etc
COLL S4.6 Characteristics of Units in the Scheme
COLL S4.7 Operator
COLL S4.8 Independent Entity
COLL S4.9 Investment Adviser
COLL S4.10 Auditor
COLL S4.11 Relationships with Other Parties
COLL S4.12 Register of Unitholders
COLL S4.13 Payments Out of Scheme Property
COLL S4.14 Allocation of Payments
COLL S4.15 Valuation and Pricing
COLL S4.16 Dealing
COLL S4.17 Dilution
COLL S4.18 Issue Charges
COLL S4.19 Redemption Charges
COLL S4.20 Meeting of Unitholders
COLL S4.21 General Information
COLL S4.22 Mandatory Statement About Prospectus
COLL S4.23 Additional Information for Feeder Funds
COLL S4.24 Additional Information for Fund of Funds
COLL S4.25 Information on Umbrella Schemes
COLL S4.26 Application of Prospectus Contents to Umbrella Schemes
COLL S4.27 Additional Information
COLL Schedule 5:
Prospectus content — REITs
COLL S5.1 Document status
COLL S5.2 Description of scheme etc
COLL S5.3 Islamic funds
COLL S5.4 Investment objectives and policy etc
COLL S5.5 Distributions, accounting and reporting dates etc
COLL S5.6 Characteristics of units in the REIT
COLL S5.7 Operator
COLL S5.8 Independent entity
COLL S5.9 Investment adviser and independent valuer
COLL S5.10 Auditor
COLL S5.11 Relationships with other parties
COLL S5.12 Register of unitholders
COLL S5.13 Payments out of scheme property
COLL S5.14 Allocation of payments
COLL S5.15 Valuation and pricing
COLL S5.16 Dealing
COLL S5.17 Disclosure about transactions with affected persons
COLL S5.18 Disclosure about competing business of affected persons
COLL S5.19 Disclosure about sale of immovable by affected persons
COLL S5.20 Disclosure about custodianship by operator and transactions of operator with affected persons
COLL S5.21 Dilution
COLL S5.22 Issue charges
COLL S5.23 Meeting of unitholders
COLL S5.24 General information
COLL S5.25 Mandatory statement about prospectus
COLL S5.26 Other additional information
COLL Glossary

Amended by QFCRA RM/2016-1 (as from 19th September 2016).