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The Alternative Investment Fund Managers Regulations 2013
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- UK Statutory Instruments
- 2013 No. 1773
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11.Applications for entry on register of small registered UK AIFMs
14.Notification of new funds under the EuSEF Regulation or the EuVECA Regulation
15.Small registered AIFMs ceasing to meet the requirements for registration
22.Power to direct small registered UK AIFMs and EuSEF and EuVECA Managers to take appropriate measures
PART 4 Operating conditions for external valuers, full-scope AIFMs and depositaries
PART 5 AIFs which acquire control of non-listed companies and issuers
AMENDMENTS TO PRIMARY LEGISLATION
PART 1 Amendments to the Financial Services and Markets Act 2000
2.In section 1A(6) (the Financial Conduct Authority) , after paragraph...
3.In section 1L(2) (supervision, monitoring and enforcement), after paragraph (a)...
5.In section 55J (variation or cancellation on initiative of regulator)—...
6.In section 55V (determination of applications) after subsection (7) insert—...
7.In section 59 (approval for particular arrangements) after subsection (7B)...
8.In section 66(2)(b) (disciplinary powers) after sub-paragraph (i) omit “or”...
9.In section 165 (regulators' power to require information: authorised persons...
10.In section 168(4) (appointment of persons to carry out investigations...
11.In section 193(1) (interpretation of Part 13) , in the...
12.In section 194 (general grounds on which power of intervention...
13.In section 195A (contravention by relevant EEA firm or EEA...
14.In section 199 (additional procedure for EEA firms in certain...
16.In section 237(3) (other definitions) in the definition of “a...
17.In section 261D(8) (authorisation orders for contractual schemes) for “permission...
18.Omit sections 270 and 271 and the preceding cross-heading (schemes...
19.In section 272 (individually recognised overseas schemes) , in subsection...
20.In section 277 (alteration of schemes and changes of operator,...
21.After section 277 insert— Regular provision of information relating to...
22.Omit the cross-heading “Schemes recognised under sections 270 and 272”...
23.In section 278 (rules as to scheme particulars) omit “270...
24.In section 279 (revocation of recognition)— (a) in the opening...
25.In section 280 (procedure)— (a) in subsection (1) for “give...
26.In section 281 (directions)— (a) in subsection (1) omit “270...
27.In section 380(6)(a) (injunctions) — (a) omit “or” after sub-paragraph...
28.In section 382(9)(a) (restitution orders) — (a) omit “or” after...
30.In section 398 (misleading the FCA or PRA: residual cases)...
31.In section 417(1) (definitions) in the appropriate places insert— “AIF”...
32.In section 425 (expressions relating to authorisation elsewhere in the...
33.In Schedule 1ZA (the Financial Conduct Authority), in paragraph 23(2)(a)...
34.(1) Schedule 3 (EEA passport rights) is amended as follows....
35.In paragraph 2(2) of Schedule 5 (permission for open-ended investment...
PART 3 Transitional provisions in respect of recognised overseas schemes
AMENDMENTS TO SECONDARY LEGISLATION
PART 1 Amendments to the Financial Services and Markets Act 2000 (Regulated Activities) Order 2001
PART 2 Amendments to other secondary legislation
2.Rehabilitation of Offenders Act 1974 (Exceptions) Order 1975
5.Financial Services and Markets Act 2000 (Promotion of Collective Investment Schemes) (Exemptions) Order 2001
6.Financial Services and Markets Act 2000 (Collective Investment Schemes) Order 2001
7.Financial Services and Markets Act 2000 (Carrying on Regulated Activities by Way of Business) Order 2001
8.Financial Services and Markets Act 2000 (Exemption) Order 2001
9.Financial Services and Markets Act 2000 (Professions) (Non-Exempt Activities) Order 2001
11.Financial Services and Markets Act 2000 (Compensation Scheme: Electing Participants) Regulations 2001
12.Financial Services and Markets Act 2000 (Disclosure of Confidential Information) Regulations 2001
13.Financial Services and Markets Act 2000 (Consultation with Competent Authorities) Regulations 2001
14.Financial Services and Markets Act 2000 (EEA Passport Rights) Regulations 2001
16.Financial Services and Markets Act 2000 (Collective Investment Schemes) (Designated Countries and Territories) Order 2003
17.Financial Conglomerates and Other Financial Groups Regulations 2004
19.Financial Services and Markets Act 2000 (Financial Promotion) Order 2005
21.Financial Services and Markets Act 2000 (Short Selling) Regulations 2012
22.Financial Services and Markets Act 2000 (Qualifying EU Provisions) Order 2013
23.Financial Services Act 2012 (Misleading Statements and Impressions) Order 2013
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