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The Undertakings for Collective Investment in Transferable Securities Regulations 2011

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7.—(1) In this Part—

“the Act” means the Financial Services and Markets Act 2000(1);

“the Authority” means the Financial Services Authority”;

“cross-border merger” means a merger of UCITS—

(a)

at least two of which are established in different EEA States; or

(b)

established in the same Member State into a newly constituted UCITS established in another EEA State;

“depositary” means—

(a)

in relation to a open-ended investment company means the person appointed under regulation 5 of the Open-Ended Investment Companies Regulations 2001;

(b)

in relation to an authorised unit trust scheme means the trustee of the scheme; and

(c)

includes the depositary of an EEA UCITS;

“domestic merger” means a merger between two or more UK UCITS where at least one of the UCITS involved has given notice to the Authority under paragraph 20B of Schedule 3 to the Act;

“EEA UCITS” is a UCITS which is established in an EEA State other than the United Kingdom;

“managers” means—

(a)

in relation to an open-ended investment company, the directors of that company,

(b)

in relation to an authorised unit trust scheme, the manager of that scheme,

(c)

in relation to an EEA UCITS, the management company of that UCITS or, if the EEA UCITS is an open ended investment company that has not designated a management company, the EEA UCITS;

“UCITS” means an undertaking for collective investment in transferable securities within the meaning of Article 1.2 of the UCITS directive, or a sub-fund of such an undertaking, and includes an open ended investment company, or an authorised unit trust to which the UCITS directive applies;

“UCITS directive” means directive means the Council Directive of 13th July 2009 on the co-ordination of laws, regulations and administrative provisions relating to undertakings for collective investment in transferable securities (No 2009/65/EC);

“UK UCITS” means a UCITS which is established in the United Kingdom;

“unit-holders” means—

(a)

in the case of an open-ended investment company, the shareholders or members of that UCITS;

(b)

in the case of an authorised unit trust scheme or an EEA UCITS, the unit-holders in that trust scheme or EEA UCITS;

“units” means—

(a)

in the case of an open-ended investment company, shares in the company;

(b)

in the case of an authorised unit trust scheme, units in the scheme; and

(c)

in the case of an EEA UCITS, units in the undertaking.

(2) Subject to sub-paragraph (1), expressions used in this Part shall have the same meaning as in the Act.

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