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