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The Open-Ended Investment Companies Regulations 2001

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You searched for provisions that are applicable to Northern Ireland. The matching provisions are highlighted below. Where no highlighting is shown the matching result may be contained within a footnote.

  1. Introductory TextNext Match

  2. PART I GENERALPrevious MatchNext Match

    1. 1. Citation, commencement and extentPrevious MatchNext Match

    2. 2. InterpretationPrevious MatchNext Match

  3. PART II FORMATION, SUPERVISION AND CONTROLPrevious MatchNext Match

    1. GeneralPrevious MatchNext Match

      1. 3. Open-ended investment companyPrevious MatchNext Match

      2. 4. Registration by the AuthorityPrevious MatchNext Match

      3. 5. Safekeeping of scheme property by depositaryPrevious MatchNext Match

      4. 6. FCA rules Previous MatchNext Match

      5. 7. Modification or waiver of FCA rules Previous MatchNext Match

      6. 8. Notices: generalPrevious MatchNext Match

      7. 9. PublicationPrevious MatchNext Match

      8. 10. The Authority’s proceduresPrevious MatchNext Match

      9. 11. The TribunalPrevious MatchNext Match

    2. Umbrella companiesPrevious MatchNext Match

      1. 11A.Segregated liability of sub-fundsPrevious MatchNext Match

      2. 11B.Cross sub-fund investmentPrevious MatchNext Match

    3. AuthorisationPrevious MatchNext Match

      1. 12. Applications for authorisationPrevious MatchNext Match

      2. 13. Particulars of directorsPrevious MatchNext Match

      3. 14. AuthorisationPrevious MatchNext Match

      4. 15. Requirements for authorisationPrevious MatchNext Match

      5. 16. Representations against refusal of authorisationPrevious MatchNext Match

      6. 17. CertificatesPrevious MatchNext Match

    4. NamesPrevious MatchNext Match

      1. 18. Registrar’s approval of namesPrevious MatchNext Match

      2. 19. Prohibition on certain namesPrevious MatchNext Match

      3. 20. Registrar’s index of company namesPrevious MatchNext Match

    5. AlterationsPrevious MatchNext Match

      1. 21. The Authority’s approval for certain changes in respect of a companyPrevious MatchNext Match

      2. 22. Procedure when refusing approval of proposed changesPrevious MatchNext Match

      3. 22A.The Authority’s approval for conversion of a feeder UCITSPrevious MatchNext Match

    6. Ending of authorisationPrevious MatchNext Match

      1. 23. Ending of authorisationPrevious MatchNext Match

      2. 24. ProcedurePrevious MatchNext Match

    7. Powers of interventionPrevious MatchNext Match

      1. 25. DirectionsPrevious MatchNext Match

      2. 26. Applications to the courtPrevious MatchNext Match

      3. 27. Procedure on giving directions under regulation 25 and varying them on Authority’s own initiativePrevious MatchNext Match

      4. 28. Procedure: refusal to revoke or vary directionPrevious MatchNext Match

      5. 29. Procedure: revocation of direction and grant of request for variationPrevious MatchNext Match

    8. InformationPrevious MatchNext Match

      1. 29A.Information for home state regulatorPrevious MatchNext Match

      2. 29B.Information for feeder UCITSPrevious MatchNext Match

    9. InvestigationsPrevious MatchNext Match

      1. 30. Power to investigatePrevious MatchNext Match

    10. Winding upPrevious MatchNext Match

      1. 31. Winding up by the courtPrevious MatchNext Match

      2. 32. Dissolution on winding up by the courtPrevious MatchNext Match

      3. 33. Dissolution in other circumstancesPrevious MatchNext Match

      4. 33A.Winding up of a master UCITSPrevious MatchNext Match

      5. 33B.Merger or division of a master UCITSPrevious MatchNext Match

      6. 33C.Winding up of sub-fundsPrevious MatchNext Match

  4. PART III CORPORATE CODEPrevious MatchNext Match

    1. OrgansPrevious MatchNext Match

      1. 34. DirectorsPrevious MatchNext Match

      2. 34A.Removal of certain directors by ordinary resolutionPrevious MatchNext Match

      3. 35. Directors to have regard to interests of employeesPrevious MatchNext Match

      4. 36. Inspection of directors’ service contractsPrevious MatchNext Match

      5. 37. General meetingsPrevious MatchNext Match

      6. 37A.Election to dispense with annual general meetingsPrevious MatchNext Match

      7. 38. Capacity of companyPrevious MatchNext Match

      8. 39. Power of directors and general meeting to bind the companyPrevious MatchNext Match

      9. 40. No duty to enquire as to capacity etc.Previous MatchNext Match

      10. 41. Exclusion or deemed noticePrevious MatchNext Match

      11. 42. Restraint and ratification by shareholdersPrevious MatchNext Match

      12. 43. Events affecting company statusPrevious MatchNext Match

      13. 44. Invalidity of certain transactions involving directorsPrevious MatchNext Match

    2. SharesPrevious MatchNext Match

      1. 45. SharesPrevious MatchNext Match

      2. 46. Share certificatesPrevious MatchNext Match

      3. 47. Exceptions from regulation 46Previous MatchNext Match

      4. 48. Bearer sharesPrevious MatchNext Match

      5. 49. Register of shareholdersPrevious MatchNext Match

      6. 50. Power to close registerPrevious MatchNext Match

      7. 51. Power of court to rectify registerPrevious MatchNext Match

      8. 52. Share transfersPrevious MatchNext Match

    3. OperationPrevious MatchNext Match

      1. 53. Power incidental to carrying on businessPrevious MatchNext Match

      2. 54. Name to appear in correspondence etc.Previous MatchNext Match

      3. 55. Particulars to appear in correspondence etc.Previous MatchNext Match

      4. 56. Contracts: England and Wales or Northern Ireland Previous MatchNext Match

      5. 57. Execution of documents: England and Wales or Northern Ireland Previous MatchNext Match

      6. 58. Execution of deeds or other documents by attorney Previous MatchNext Match

      7. 59. Authentication of documents: England and WalesPrevious MatchNext Match

      8. 60. Official seal for share certificatesPrevious MatchNext Match

      9. 61. Personal liability for contracts and deedsPrevious MatchNext Match

      10. 62. Exemptions from liability to be voidPrevious MatchNext Match

      11. 63. Power of court to grant relief in certain casesPrevious MatchNext Match

      12. 64. Punishment for fraudulent tradingPrevious MatchNext Match

      13. 65. Power to provide for employees on cessation or transfer of businessPrevious MatchNext Match

    4. ReportsPrevious MatchNext Match

      1. 66. Reports: preparationPrevious MatchNext Match

      2. 67. Reports: accountsPrevious MatchNext Match

      3. 68. Reports: voluntary revisionPrevious MatchNext Match

      4. 69. AuditorsPrevious MatchNext Match

    5. Mergers and divisionsPrevious MatchNext Match

      1. 70. Mergers and divisionsPrevious MatchNext Match

  5. PART IV THE AUTHORITY’S REGISTRATION FUNCTIONSPrevious MatchNext Match

    1. 71. Register of open-ended investment companiesPrevious MatchNext Match

    2. 72. Companies’ registered numbersPrevious MatchNext Match

    3. 73. Delivery of documents to the AuthorityPrevious MatchNext Match

    4. 74. Keeping of company records by the AuthorityPrevious MatchNext Match

    5. 75. Inspection etc. of records kept by the AuthorityPrevious MatchNext Match

    6. 76. Provision by the Authority of documents in electronic form Previous MatchNext Match

    7. 77. Documents relating to Welsh open-ended investment companiesPrevious MatchNext Match

    8. 78. Public notice by the Authority of receipt and issue of certain documentsPrevious MatchNext Match

    9. 79. Exclusion of deemed noticePrevious MatchNext Match

  6. PART V MISCELLANEOUSPrevious MatchNext Match

    1. 80. ContraventionsPrevious MatchNext Match

    2. 81. Offences by bodies corporate etc.Previous MatchNext Match

    3. 82. Jurisdiction and procedure in respect of offencesPrevious MatchNext Match

    4. 83. Evidence of grant of probate etc.Previous MatchNext Match

    5. 83A.Disclosure under the UCITS directivePrevious MatchNext Match

    6. 84. Minor and consequential amendmentsPrevious MatchNext Match

    7. 85. Revocation etc.Previous MatchNext Match

  7. SignaturePrevious MatchNext Match

    1. SCHEDULE 1Previous MatchNext Match

      DEPOSITARIESPrevious MatchNext Match

      1. AppointmentPrevious MatchNext Match

        1. 1.On the coming into effect of an authorisation order in...Previous MatchNext Match

        2. 2.Subject to regulations 21 and 26, any subsequent appointment of...Previous MatchNext Match

      2. RetirementPrevious MatchNext Match

        1. 3.The depositary of a company may not retire voluntarily except...Previous MatchNext Match

      3. RightsPrevious MatchNext Match

        1. 4.The depositary of a company is entitled— Previous MatchNext Match

      4. Statement by depositary ceasing to hold officePrevious MatchNext Match

        1. 5.(1) Where the depositary of a company ceases, for any...Previous MatchNext Match

        2. 6.(1) This paragraph applies where copies of a statement have...Previous MatchNext Match

    2. SCHEDULE 2Previous MatchNext Match

      INSTRUMENT OF INCORPORATIONPrevious MatchNext Match

      1. 1.The instrument of incorporation of an open-ended investment company must—...Previous MatchNext Match

      2. 2.The statements referred to in paragraph 1(a) are— Previous MatchNext Match

      3. 3.(1) The instrument of incorporation must contain provision as to...Previous MatchNext Match

      4. 4.(1) The instrument of incorporation must also contain provision as...Previous MatchNext Match

      5. 5.(1) Once an authorisation order has been made in respect...Previous MatchNext Match

      6. 6.(1) The provisions of a company’s instrument of incorporation are...Previous MatchNext Match

    3. SCHEDULE 3Previous MatchNext Match

      REGISTER OF SHAREHOLDERSPrevious MatchNext Match

      1. GeneralPrevious MatchNext Match

        1. 1.(1) Subject to sub-paragraph (2), every open-ended investment company must...Previous MatchNext Match

        2. 2.(1) ... The register of shareholders is prima facie evidence...Previous MatchNext Match

        3. 3.In the case of companies registered in England and Wales...Previous MatchNext Match

      2. ContentsPrevious MatchNext Match

        1. 5.(1) The register of shareholders must contain an entry consisting...Previous MatchNext Match

        2. 6.(1) This paragraph does not apply to any issue or...Previous MatchNext Match

        3. 7.The register of shareholders must contain a monthly statement of...Previous MatchNext Match

        4. 8.(1) This paragraph applies where the aggregate number of shares...Previous MatchNext Match

      3. LocationPrevious MatchNext Match

        1. 9.The register of shareholders of a company must be kept...Previous MatchNext Match

      4. IndexPrevious MatchNext Match

        1. 10.(1) Every company must keep an index of the names...Previous MatchNext Match

      5. InspectionPrevious MatchNext Match

        1. 11.(1) Subject to regulation 50 and to FCA rules, the...Previous MatchNext Match

      6. Agent’s defaultPrevious MatchNext Match

        1. 12.(1) Sub-paragraphs (2) and (4) apply where, in accordance with...Previous MatchNext Match

    4. SCHEDULE 4Previous MatchNext Match

      SHARE TRANSFERSPrevious MatchNext Match

      1. GeneralPrevious MatchNext Match

        1. 1.The instrument of incorporation of a company may contain provison...Previous MatchNext Match

        2. 2.Where any shares are transferred to the company, the company...Previous MatchNext Match

        3. 3.In the case of a company which is a participating...Previous MatchNext Match

      2. Transfer of registered sharesPrevious MatchNext Match

        1. 4.(1) Where a transfer of shares is made by the...Previous MatchNext Match

        2. 4A.(1) Subject to sub-paragraph (2), section 136 of the Law...Previous MatchNext Match

        3. 4B.(1) Subject to sub-paragraph (3), section 1(2)(a)(ii) of the Requirements...Previous MatchNext Match

        4. 4C.(1) Where a transfer of shares is made by means...Previous MatchNext Match

        5. 5.(1) Except in the case of any transfer of shares...Previous MatchNext Match

        6. 6.(1) Subject to sub-paragraph (2), in the case of any...Previous MatchNext Match

        7. 7.(1) A company may, before the end of the period...Previous MatchNext Match

        8. 8.(1) Where, in respect of any transfer of shares, the...Previous MatchNext Match

      3. Transfer of bearer sharesPrevious MatchNext Match

        1. 9.A transfer of title to any bearer share in a...Previous MatchNext Match

        2. 10.Where the holder of bearer shares proposes to transfer to...Previous MatchNext Match

      4. MiscellaneousPrevious MatchNext Match

        1. 11.Nothing in the preceding provisions of this Schedule prejudices any...Previous MatchNext Match

        2. 12.A transfer of registered shares that are held by a...Previous MatchNext Match

        3. 13.On the death of any one of the joint holders...Previous MatchNext Match

    5. SCHEDULE 5Previous MatchNext Match

      AUDITORSPrevious MatchNext Match

      1. EligibilityPrevious MatchNext Match

        1. 1.No person is eligible for appointment as auditor of an...Previous MatchNext Match

        2. 2.(1) A person is ineligible for appointment as auditor of...Previous MatchNext Match

        3. 3.(1) No person is to act as auditor of a...Previous MatchNext Match

      2. AppointmentPrevious MatchNext Match

        1. 4.(1) Every company must appoint an auditor or auditors in...Previous MatchNext Match

        2. 5.If, in any case, no auditors are appointed as required...Previous MatchNext Match

        3. 6.(1) The directors of a company, or the company in...Previous MatchNext Match

        4. 7.(1) Sub-paragraphs (2) to (5) apply to the appointment, as...Previous MatchNext Match

      3. RightsPrevious MatchNext Match

        1. 8.(1) The auditors of a company have a right of...Previous MatchNext Match

        2. 9.(1) The auditors of a company are entitled— Previous MatchNext Match

      4. RemunerationPrevious MatchNext Match

        1. 10.(1) The remuneration of auditors of a company who are...Previous MatchNext Match

        2. 11.(1) Subject to sub-paragraph (2), the power of the Secretary...Previous MatchNext Match

      5. RemovalPrevious MatchNext Match

        1. 12.(1) A company may by resolution remove an auditor from...Previous MatchNext Match

      6. Rights on removal or non-reappointmentPrevious MatchNext Match

        1. 13.(1) A resolution at a general meeting of a company—...Previous MatchNext Match

        2. 14.(1) An auditor who has been removed from office has,...Previous MatchNext Match

      7. ResignationPrevious MatchNext Match

        1. 15.(1) An auditor of a company may resign his office...Previous MatchNext Match

        2. 16.(1) This paragraph applies where a notice of resignation of...Previous MatchNext Match

        3. 17.(1) An auditor who has resigned has, notwithstanding his removal,...Previous MatchNext Match

      8. Statement by auditor ceasing to hold officePrevious MatchNext Match

        1. 18.(1) Where an auditor ceases for any reason to hold...Previous MatchNext Match

        2. 19.(1) If a person ceasing to hold office as auditor...Previous MatchNext Match

        3. 20.Section 249(1) of the Act (disqualification of auditor for breach...Previous MatchNext Match

    6. SCHEDULE 6Previous MatchNext Match

      MERGERS AND DIVISIONSPrevious MatchNext Match

      1. 1.This Schedule applies to any reconstruction or amalgamation involving an...Previous MatchNext Match

      2. 2.An open-ended investment company may apply to the court under...Previous MatchNext Match

      3. 3.A public company may apply to the court under section...Previous MatchNext Match

      4. 4.(1) The schemes falling within this paragraph are— Previous MatchNext Match

      5. 5.An application made by virtue of paragraph 2 or 3...Previous MatchNext Match

      6. 6.(1) The provisions of the Companies Act 2006 referred to...Previous MatchNext Match

    7. SCHEDULE 7Previous MatchNext Match

      MINOR AND CONSEQUENTIAL AMENDMENTSPrevious MatchNext Match

      1. PART I Primary LegislationPrevious MatchNext Match

        1. Trustee Investments Act 1961 (c. 62)Previous MatchNext Match

          1. 1.For paragraph 2A of Part III of Schedule 1 to...Previous MatchNext Match

        2. Stock Transfer Act 1963 (c. 18)Previous MatchNext Match

          1. 2.For section 1(4)(f) of the Stock Transfer Act 1963 (registered...Previous MatchNext Match

        3. Companies Act 1985 (c. 6)Previous MatchNext Match

          1. 3.(1) Section 26 of the Companies Act 1985 (“the 1985...Previous MatchNext Match

          2. 4.(1) Section 199(2A) of the 1985 Act (interests to be...Previous MatchNext Match

          3. 5.In section 209(1)(h) of the 1985 Act (interests to be...Previous MatchNext Match

          4. 6.In section 220(1) of the 1985 Act (definitions for Part...Previous MatchNext Match

          5. 7.In section 716(2) of the 1985 Act (exemptions from prohibition...Previous MatchNext Match

          6. 8.In section 718(2) of the 1985 Act (exemptions from application...Previous MatchNext Match

        4. Company Directors Disqualification Act 1986 (c. 46)Previous MatchNext Match

          1. 9.In Schedule 1 to the Company Directors Disqualification Act 1986...Previous MatchNext Match

        5. Pension Schemes Act 1993 (c. 48)Previous MatchNext Match

          1. 10.In section 38(6) (permitted forms for appropriate schemes), for paragraph...Previous MatchNext Match

        6. Limited Liability Partnerships Act 2000 (c. 12)Previous MatchNext Match

          1. 11.In paragraph 8(2) of the Schedule to the Limited Liability...Previous MatchNext Match

      2. PART II Subordinate LegislationPrevious MatchNext Match

        1. The Uncertificated Securities Regulations 1995 (S.I. 1995/3272)Previous MatchNext Match

          1. 12.(1) The Uncertificated Securities Regulations 1995 are amended as follows....Previous MatchNext Match

  9. Explanatory NotePrevious Match

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