AUTHORISED FUNDS: A REGULATORY GUIDE

This is a document designed for use by investors who are considering investment in a UK authorised fund and who wish to understand in more detail the UK regulatory regime for authorised funds.

PAPERLESS TRANSFER/RENUNCIATION FOR AUTHORISED FUNDS
  • Reasonable steps to ensure the authenticity of instructions (January 2016)
ALGORITHMIC TRADING ORDER HANDLING QUESTIONNAIRE

The purpose of the Equities Electronic Order Handling Questionnaire is to establish a common, non-exhaustive, framework for the request of information from clients to their electronic trading service providers. The scope of the Questionnaire is limited to equity / equity-like European Economic Area (EEA) securities which are traded through a regulated firm based in the EEA.

CONSENT FEES

 

AUTOMATIC EXCHANGE OF INFORMATION (INCLUDING FATCA AND THE OECD'S CRS): GUIDANCE ON SELF CERTIFICATION
USE OF DEALING COMMISSION
  • Corporate Access/ Research Services (March 2013)
ENHANCED DISCLOSURE OF FUND CHARGES AND COSTS
RELATIONS WITH INVESTEE COMPANIES