Financial Conduct Authority | FCA



Form TMPR CH

Notification of certain changes to an EEA UCITS scheme and any sub-funds which are in the temporary marketing permissions regime (TMPR) as required by Regulations 65 and 66 of the Collective Investment Schemes (Amendment etc.) (EU Exit) Regulations 2019

Name of UCITS, including Scheme Reference Number(s)

     

Important information you should read before completing this form

We require all Operators of EEA UCITS schemes to provide further information and notify us of certain changes to the UCITS in accordance with Regulations 65 and 66 of the Collective Investment Schemes (Amendment etc.) (EU Exit) Regulations 2019.

You must keep a copy of the form you complete and the supporting documents that you send us for your future reference.

The FCA processes personal data in line with the General Data Protection Regulation, as onshored, and the Data Protection Act 2018. For further information about the way we use the personal data collected in this form, please read our privacy notice available on our website:

It is important that you provide accurate and complete information and disclose all relevant information.

Terms in this pack

In this form we use the following terms:

‘CIS Exit Regulations’ – refers to The Collective Investment Schemes (Amendment etc.) (EU Exit) Regulations 2019

'EEA' refers to the European Economic Area

‘EEA UCITS scheme’ refers to a collective investment scheme established in accordance with the UCITS Directive in an EEA State

‘FCA', 'us', 'we' or 'our' refers to the Financial Conduct Authority

'Handbook' refers to the Handbook of rules which can be accessed at

'FSMA' or 'the Act' refers to the Financial Services and Markets Act 2000

'Marketing' for a definition see the Glossary to the Handbook

'Operator' includes the UCITS itself for an open-ended investment company and in relation to a sub-fund, means the operator of its umbrella scheme.

‘Scheme Reference Number’ refers to the six figure reference number on the FS Register

‘standalone’ refers to a collective investment scheme—

(a)which does not have two or more sub-funds, and

(b)whose fund rules or instruments of incorporation do not enable it to have two or more sub-funds.

‘Sub-fund(s)’ is a sub-fund of a collective investment scheme (its “umbrella scheme”) and has the meaning given by section 237(4) of the Act

‘TMPR’ refers to the Temporary Marketing Permissions Regime

'UCITS Directive' refers to the European Parliament and Council Directive 2009/65/EC of 13 July 2009 on the coordination of laws, regulations and administrative provisions relating to undertakings for collective investment in transferable securities, as amended

'UK' refers to the United Kingdom

‘You’ refers to the person completing the form on behalf of the Operator (UCITS)

Purpose of this form

You should complete this form when notifying us of further information or certain changes to the UCITS in accordance with Regulations 65 and 66 of the CIS Exit Regulations.

Some of this information will be published on the FS Register, which is our record of authorised and recognised collective investment schemes in the UK. The FS Register can be accessed at

Filling in the form

When filing in this form you should have a copy of the CIS Exit Regulations and familiarise yourself with Reg 65 and 66.

1 If you are completing the form electronically:

• use the TAB key to move to the from question to question and press SHIFT TAB to move back to the previous question; and

• print out all the completed parts of the form

2 If you are filling in the form by hand:

• use black ink; and

• write clearly.

3 If there is not enough space on the form, you may need to use separate sheets of paper. Clearly mark each separate sheet of paper with the relevant question number.

4 Your notification should consist of this Form TMPR CH:

(i) Which you may use to describe the update(s) or the amendment(s) that has/have been made and indicate where the document(s) can be obtained electronically; or

(ii) To which you may provide a new version of the document(s) as an attachment.

Send your notification to us at recognisedcis@.uk

(The total email size should be no more than 10MB. If required, multiple emails may be used but should be clearly marked “email x of y”. If necessary, files may be compressed using a legacy 2.0 .zip format. Originals of all documents, including this signed form, must be retained by the Operator.)

Please note we do not need the originals of translated documents.

Notification of certain changes to an EEA UCITS scheme and any sub-funds which are in the temporary marketing permissions regime (TMPR) as required by Regulations 65 and 66 of the Collective Investment Schemes (Amendment etc.) (EU Exit) Regulations 2019

As part of the temporary recognition of a EEA UCITS or sub-fund of an EEA UCITS you must keep documents that have been filed with us up to date and notify us of any further information or changes required under Regulations 65 and 66 of the CIS Exit Regulations.

1. 1 You must provide details of changes to any of the following information

| |Details of change |

|Name of the UCITS | |

|Legal form, e.g. common form/unit | |

|trust/investment company | |

|Name and/or address of Operator | |

|Address of the place in the UK for the | |

|service on the Operator of notices or other | |

|documents | |

|Name and/or address of the supervisory | |

|authorities to which the Operator is subject | |

|in the EEA State in which it is established | |

|Any other information required under Reg 65 | |

|and 66 (i.e. fund suspensions etc) | |

1.2 You must provide details of changes to any of the following information (continued):

| |Details of change |

|If permitted, whether the Operator intends to | |

|market the UCITS in the UK in a manner which | |

|involves it carrying on a regulated activity in | |

|the UK | |

|Name and/or address of the depositary/trustee/ | |

|custodian | |

|Address in the UK where facilities are | |

|maintained | |

|Details of the arrangements for marketing the | |

|UCITS in the UK | |

|Other changes (not covered above) | |

Changes to documentation supplied to the FCA

1.3 Where a new document is provided, please provide details of the document(s) amended

| |

1.4 Date of amendment

| |

1.5 Where documentation is not supplied, please indicate where copies may be obtained electronically

| |

Changes to information about the sub-fund of an EEA UCITS scheme in the TMPR

If you are the Operator of an umbrella UCITS, you must provide us with details of changes to any sub-funds in the TMPR as required under Regulations 65 and 66 of the CIS Exit Regulations.

It is important that we have this information to ensure that the FS Register is kept up to date

2.1 Sub-fund(s) for which marketing in the UK is to be terminated

| |

2.2 Change of name of sub-fund(s)

| |

2.3 List of sub-fund(s) currently marketed in the UK under the TMPR

2.4 Any further information as required under Regulations 65 and 66 of the CIS Exit Regulations

| |

Contact details for this notification

We need this information in case we need to contact you about your notification

Contact for this notification

3.1 Contact details for questions about this notification

|Title |      |

|First name |      |

|Surname |      |

|Job title |      |

|Business address |      |

| | |

| | |

| | |

|Postcode |      |

|Phone number (including STD code) |      |

|Email address |      |

|Alternate contact | |

|Phone number | |

|Email address | |

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