Forms

Question 1

If you are making a change to a UCITS OEIC, what form do you need to use?

Answer 1

Form 21

Question 2

If you are making a change to a UCITS AUT, what form do you need to use?

Answer 2

Form 251

Question 3

If you are making a change to a UCITS ACS, what form do you need to use?

Answer 3

Form 261

Question 4

What general forms can you name?

Answer 4

• AIFMD Material Change
• AIFMD New AIF under management
• AIFMD Marketing Form
• AIFMD Delegation Form

Question 5

What documents do you need to submit if you are starting a new fund?

Answer 5

• Form 12 / 242 / 261C
• Approval of Documentation
• Trust deed (Articles), Prospectus, KIID.

You are pitching to the FCA saying that it will do well for investors

Question 6

What are the timescales for completing a Fund?

Answer 6

UK UCITS - 8 weeks
NURS - 2 months
QIS - 1 month

Question 7

If you want to change anything about your fund structure, what forms are needed / timescale

Answer 7

• Form 21 / 251 / 261Q / 9
• one month timescale

Question 8

What are the different change events. what approvals are needed / notice periods and

Answer 8

Fundamental - shareholder / unitholder approval at EGM. Needed for new charges, a merger etc

Significant - 60 days notice. An increase in an existing charge or change of manager.

Notifiable - 30 days notice or may be post event. For a change of name or change of depositary.