Form 283A

Application for approval of certain changes for a UCITS scheme under section 283A of the Financial Services and Markets Act 2000

Name of Scheme, including Scheme Reference Number(s)

Important information you should read before completing this form

To assist us in approving any proposal to make certain changes to an ICVC authorised under OEIC Regulation 14, an ACS authorised under section 261C of FSMA or an AUT authorised under section 243 of FSMA, we request that you complete this form and provide the information set out below.

You must keep a copy of the form that you complete and the supporting documents that you include with this application for your future reference.

If a notification relates to more than one scheme you do not need to fill in a separate form for each scheme, a list of schemes can be included in Section 2.

It is important that you provide accurate and complete information and disclose all relevant information. If you do not, it may increase the time taken to deal with your application.

Terms in this pack

In this form we use the following terms:

'ACS' refers to anauthorised contractual scheme under section 261D

'AFM' refers to the authorised fund manager

‘AUT’ refers to authorised unit trust under section 243 of FSMA

'COLL' refers to the Collective Investment Schemes sourcebook which is part of the Handbook

'COLLG' refers to the Collective Investment Schemes Information Guide which is part of the Handbook

‘Feeder UCITS’ for a definition see the Glossary to the Handbook

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

'Handbook' refers to the Handbook of Rules which you can access at

‘FSMA’ or ‘the Act’ refers to the Financial Services and Markets Act 2000

'ICVC' refers to an investment company with variable capital authorised under OEIC Regulation 14

‘Master UCITS’ for a definition see the Glossary to the Handbook

'OEIC Regulations' refers to The Open-Ended Investment Companies Regulations 2001

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

‘UCITS’ refers to a scheme which complies with the UCITS Directive

'UCITS Directive' refers to theEuropean Parliament andCouncil Directive 2009/65/EEC 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

Purpose of this form

We may, after considering information in this form and the supporting documents, approve any proposal to make changes to an ICVC authorised under OEIC Regulation 14, an ACS authorised under section 261D of FSMA or an AUT authorised under section 243 of FSMA, to enable the scheme to operate as a feeder UCITS, including where the scheme is applying to invest in the units of a different master UCITS.

Filling in the form

1If you are completing the form electronically:

  • use the TAB key to move to the next question and press SHIFT TAB to move to the previous question; and
  • print out all the completed parts of the form

2If you are filling in the form by hand:

  • use black ink; and
  • write clearly in BLOCK LETTERS.

3If you leave a question blank or do not attach the required supporting information without telling us why, we may have to treat the notification as incomplete.This may increase the time it takes us to deal with your notification

4We have left space in Section 2.1 for additional information.If there is not enough space on the form, please continue on separate sheets of paper. Clearly mark each separate sheet of paper with the relevant question number.

5You are advised to get a copy of FSMA, the OEIC Regulations, COLL and COLLG before completing this form.Although FCA staff may offer some help to applicants, they are not able to give any definitive ruling on the interpretation of legislation or regulations - only the UK Courts have this power. So we suggest you seek your own legal advice on all matters relating to proposals to make the change(s).

6Where the notification is in respect of changes to an authorised UCITS, your notification should include:

(i)this Form 283A;

(ii)a solicitor’s certificate, ifthere is an alteration to the constituting documents of the scheme;

(iii)a copy of any revised instrument of incorporation/trust deed, highlighted to show the alterations from the latest version;

(iv)a copy of any revised prospectus, highlighted to show the alterations from the latest version;

(v)a copy of any revised key investor information document, highlighted to show alterations from the latest version (where applicable);

(vi)the information required by questions 1.6(i) to 1.6(viii), provided in English

7Where this notification forms part of an application for authorisation of a new scheme, you will also be required to submit a completed Form 12/242/261C in respect of the new scheme, along with the information required in 6(i) and 6(vi) above.

Send your notification to us electronically

(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 ACD.)

or by post to:

Fund Authorisations

The Financial Conduct Authority
25 The North Colonnade
Canary Wharf
LONDON
E14 5HS

Explanatory Notes

1.1You must state whether the scheme is an AUT or ICVC.

1.2We have up to 15 working days in which to approve a proposal; following the submission of a complete application. If we propose to refuse approval of a proposal, we will send a warning notice to explain why; we will also set a period for representations to us. Subsequently, if we decide to refuse approval, we will send a decision notice. There is further information on our procedures in the Decision Procedure and Penalties manual (DEPP).

Where applicable, any notice given by a UCITS scheme under section 283A of FSMA must be accompanied by a solicitor's certificate.That certificate must confirm that the change will not affect compliance of the instrument with Schedule 2 of the OEIC Regulations or the trust deed with the trust scheme rules and with any requirements of COLL that relate to the contents of that document.

If further changes or modifications to existing proposals are suggested during the course of assessing a proposal, this will require separate notification, unless we agree otherwise.In any event, subsequent modification (other than a simple grammatical or typographical error) to the instrument of incorporation or trust deed relating to an existing proposal should be accompanied either by a new solicitor's certificate or written confirmation by the solicitor that the original certificate continues to apply.

1.4You mustexplain whether a proposed change is to be treated as fundamental, significant or notifiable, and the procedural steps that will be taken in compliance with COLL 4.3 (Approvals and notifications).

1.8Space is provided to give notice to us of: i) (where the AFM is authorised by the FCA) any application made in relation to the AFM's Part 4A permission to carry on a regulated activity in the United Kingdom. If an application has been submitted to vary any of the activities that the firm may carry on, including the removal of any limitation (relating to an individual activity), you must provide details of when the application was made and what it was for; ii) (where the AFM is an EEA UCITS management company) any relevant notifications/applications that have been made in relation to these proposed changes. If applicable, you must provide details of when and to whom the notification/application was made and what it was for.

Further information on theFCA’s variation of permission procedures can be found on the FCA website at

Please note, you should use Form FN to notify us that changes approved under section 283A of FSMA have subsequently been carried into effect.

1 / Application for approval of certain changes to a UCITS scheme
We need this information about the notification so we can process your notification as efficiently as possible

1.1 Legal structure of the scheme [see Explanatory Notes]

1.2Details of proposed changes [see Explanatory Notes]

1.3 Reason for change(s)

1.4 How will the change(s) proposed be treated for the purposes of COLL 4.3?[see Explanatory Notes]

1.5 Date of proposed change(s)

1.6 Documents enclosed

(i) The instrument constituting the scheme of the feeder UCITS and of the master UCITS
(ii) The prospectus and the key investor information of the feeder UCITS and of the master UCITS;
(iii) The master-feeder agreement or the internal conduct of business rules;
(iv) where applicable, the information to be provided to unitholders;
(v) If the master UCITS and the feeder UCITS have different depositaries, the information sharing agreement between them;
(vi) If the master UCITS and the feeder UCITS have different auditors, the information sharing agreement between them; and
(vii) Where the master UCITS is an EEA UCITS scheme, an attestation by the master UCITS’s Home State regulator, that the master UCITS:
(a) is an EEA UCITSscheme , or a sub-fund of it; and
(b) fulfils the conditions set out in article 58(3)(b) and (c) of the UCITS Directive.
In respect of the above, please provide a checklist indicating where the information required by COLL 11.3.2R, COLL 11 Annex 1R/2R, COLL 11.4.2R and COLL 11.5.2R is located

1.7 If any proposed change is linked to a waiver of an FCA rule, please provide the waiver application number

1.8In respect of the proposed change(s), please confirm whether the AFM's Part 4A permission requires variation. If so, please provide details of the variation of permission application and the date it was made. Alternatively for an EEA UCITS management company, please provide details of any relevant notifications/applications that have been made in relation to these proposed change(s) [see Explanatory Notes]

2 / Additional information
You may need the additional space to answer the questions

2.1Additional information

3 / 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

FCA Form 283AOctober2013 page 1

FCA Form 283AOctober2013 page 1