New Collective Investment Schemes (Waivers) The FCA Register is at http://www.fsa.gov.uk/register/home.do

Rule Ref.

Firm Name

FSA Reg. No.

Start date

Expiry date

Waiver Type

COLL 3.2.7

Investment Solutions Fund Managers Limited

114950

30/08/2007

29/12/2007 Modification

COLL 3.2.7

Sharefunds Limited

227807

09/06/2009

31/10/2009 Waiver

COLL 3.2.7

UBS Asset Management Funds Ltd

141661

20/09/2006

06/04/2007 Modification

COLL 3.2.7

WAY Fund Managers Limited

194147

16/06/2009

30/09/2009 Waiver

COLL 3.3.5

Artemis Fund Managers Limited

122448

25/04/2014

24/04/2019 Modification

COLL 3.3.5 (2)

Artemis Fund Managers Limited

122448

18/05/2005

18/05/2010 Waiver

COLL 3.3.5(2)

Artemis Fund Managers Limited

122448

18/05/2010

17/05/2015 Modification

COLL 3.3.5 (2)

BNY Mellon Fund Managers Limited

122007

31/10/2006

30/11/2007 Modification

COLL 3.3.5 (2)

Jupiter Unit Trust Managers Limited

122488

11/11/2009

30/04/2010 Modification

COLL 3.3.5 (2)

Old Mutual Investment Management Limited

208543

29/02/2008

28/02/2013 Modification

COLL 3.3.5 (4)

Old Mutual Investment Management Limited

208543

29/02/2008

28/02/2013 Modification

COLL 3.3.5 (4)

Praemium Administration Limited

463566

31/03/2008

30/03/2013 Modification

COLL 3.3.5 (4)

Praemium Administration Limited

463566

02/06/2009

01/06/2014 Modification

COLL 3.3.5R (4)

Praemium Administration Limited

463566

28/08/2015

27/08/2020 Waiver

COLL 4.2.5 (16)

Aberdeen Asset Fund Management Limited

122135

06/10/2004

12/02/2007 Waiver

COLL 4.2.5 (16)

Artemis Fund Managers Limited

122448

12/05/2005

12/02/2007 Modification

COLL 4.2.5 (16)

AXA Framlington Unit Management Limited

122180

31/08/2006

12/02/2007 Modification

COLL 4.2.5 (16)

BlackRock Fund Managers Limited

119292

10/02/2005

12/02/2007 Modification

COLL 4.2.5 (16)

Capita Financial Managers Limited

119197

15/02/2005

12/02/2007 Modification

COLL 4.2.5 (16)

Close Asset Management (UK) Limited

175827

20/04/2006

12/02/2007 Waiver

COLL 4.2.5 (16)

Franklin Templeton Fund Management Limited

122222

04/07/2006

12/02/2007 Modification

COLL 4.2.5 (16)

Hargreaves Lansdown Fund Managers Limited

166016

17/02/2006

12/02/2007 Modification

COLL 4.2.5 (16)

Ignis Fund Managers Limited

122188

06/10/2004

12/02/2007 Waiver

COLL 4.2.5 (16)

Intrinsic Cirilium Investment Company Limited

195747

24/08/2005

12/02/2007 Modification

COLL 4.2.5 (16)

Jupiter Unit Trust Managers Limited

122488

27/07/2005

12/02/2007 Modification

COLL 4.2.5 (16)

Legal & General (Unit Trust Managers) Limited

119273

06/05/2005

12/02/2007 Waiver

1 of 31

New Collective Investment Schemes (Waivers) Rule Ref.

Firm Name

FSA Reg. No.

Start date

Expiry date

Waiver Type

COLL 4.2.5 (16)

Liontrust Investment Funds Limited

172617

02/08/2005

12/02/2007 Modification

COLL 4.2.5 (16)

Liontrust Investment Funds Limited

172617

14/11/2005

12/02/2007 Modification

COLL 4.2.5 (16)

M & G Securities Limited

122057

21/10/2005

12/02/2007 Modification

COLL 4.2.5 (16)

Marlborough Fund Managers Ltd

141660

05/06/2006

12/02/2007 Modification

COLL 4.2.5 (16)

Miton Trust Managers Limited

220241

26/05/2006

12/02/2007 Modification

COLL 4.2.5 (16)

Old Mutual Investment Management Limited

208543

06/10/2005

12/02/2007 Modification

COLL 4.2.5 (16)

Rathbone Unit Trust Management Limited

144266

16/03/2006

12/02/2007 Waiver

COLL 4.2.5 (16)

Royal London Unit Trust Managers Limited

144037

25/05/2006

12/02/2007 Modification

COLL 4.2.5 (16)

Royal London Unit Trust Managers Limited

144037

27/07/2006

12/02/2007 Waiver

COLL 4.2.5 (16)

Schroder Unit Trusts Limited

197288

19/01/2005

12/02/2007 Waiver

COLL 4.2.5 (16)

Schroder Unit Trusts Limited

197288

13/07/2005

12/02/2007 Modification

COLL 4.2.5 (16)

St. James's Place Unit Trust Group Limited

122472

27/07/2006

12/02/2007 Waiver

COLL 4.2.5 (16)

THESIS Unit Trust Management Limited

186882

26/01/2006

12/02/2007 Modification

COLL 4.2.5 (16)

THESIS Unit Trust Management Limited

186882

06/03/2006

12/02/2007 Modification

COLL 4.2.5 (16)

THESIS Unit Trust Management Limited

186882

19/06/2006

12/02/2007 Modification

COLL 4.2.5 (16)

THESIS Unit Trust Management Limited

186882

19/06/2006

12/02/2007 Modification

COLL 4.2.5 (16)

Thornhill Unit Trust Managers Limited

121781

16/01/2006

12/02/2007 Modification

COLL 4.3.4

Close Asset Management (UK) Limited

175827

03/05/2006

31/12/2006 Waiver

COLL 4.4.6

Close Asset Management (UK) Limited

175827

03/05/2006

31/12/2006 Waiver

COLL 4.4.7

Invesco Fund Managers Limited

119298

24/02/2006

06/04/2006 Waiver

COLL 4.5.3

Ignis Fund Managers Limited

122188

22/01/2007

21/01/2010 Modification

COLL 4.5.3

Ignis Fund Managers Limited

122188

21/11/2013

21/11/2018 Waiver

COLL 4.5.3

Ignis Fund Managers Limited

122188

21/01/2014

21/11/2018 Modification

COLL 4.5.3

St. James's Place Unit Trust Group Limited

122472

07/07/2006

30/09/2007 Waiver

COLL 4.5.3

Threadneedle Investment Services Limited

190437

16/03/2010

15/03/2013 Modification

COLL 4.5.3

Threadneedle Investment Services Limited

190437

18/03/2013

17/03/2016 Modification

COLL 4.5.3 (1)

Aviva Investors Fund Services Limited

439307

26/06/2006

31/12/2006 Modification

COLL 4.5.3 (1)

HSBC Investment Funds (UK) Limited

171277

19/07/2006

31/12/2006 Waiver

COLL 4.5.3 (1)

Ignis Fund Managers Limited

122188

21/01/2010

01/09/2010 Waiver

2 of 31

New Collective Investment Schemes (Waivers) Rule Ref.

Firm Name

FSA Reg. No.

Start date

Expiry date

Waiver Type

COLL 4.5.3(1)

Ignis Fund Managers Limited

122188

01/09/2010

01/09/2013 Waiver

COLL 4.5.3 (1)

Phoenix Unit Trust Managers Limited

651226

02/11/2015

10/11/2016 Modification

COLL 4.5.3 (1)

Royal London Unit Trust Managers Limited

144037

17/05/2012

16/05/2015 Modification

COLL 4.5.3 (2)

Ignis Fund Managers Limited

122188

21/01/2010

01/09/2010 Waiver

COLL 4.5.3(2)

Ignis Fund Managers Limited

122188

01/09/2010

01/09/2013 Waiver

COLL 4.5.3 (2)

Phoenix Unit Trust Managers Limited

651226

02/11/2015

10/11/2016 Modification

COLL 4.5.5

EdenTree Investment Management Limited

527473

15/05/2014

30/06/2016 Modification

COLL 4.5.5

A J Bell Management Limited

211468

06/04/2015

31/10/2016 Modification

COLL 4.5.5

Aberdeen Asset Fund Management Limited

122135

28/02/2014

30/06/2014 Modification

COLL 4.5.5

Aberdeen Asset Fund Management Limited

122135

01/07/2014

30/06/2016 Modification

COLL 4.5.5

Aberdeen Fund Managers Limited

121803

22/03/2012

30/06/2014 Modification

COLL 4.5.5

Aberdeen Fund Managers Limited

121803

28/03/2014

30/06/2016 Modification

COLL 4.5.5

Alpha Real Capital LLP

436048

11/11/2013

20/06/2014 Modification

COLL 4.5.5

Alpha Real Capital LLP

436048

16/04/2014

30/06/2016 Modification

COLL 4.5.5

Architas Multi-Manager Limited

477328

25/11/2011

30/06/2014 Modification

COLL 4.5.5

Architas Multi-Manager Limited

477328

16/04/2014

30/06/2016 Modification

COLL 4.5.5

Aviva Investors UK Fund Services Limited

119310

10/05/2012

30/06/2014 Modification

COLL 4.5.5

AXA Investment Managers UK Ltd

119368

08/04/2014

30/06/2016 Modification

COLL 4.5.5

Baillie Gifford & Co Limited

119179

17/02/2012

30/06/2014 Modification

COLL 4.5.5

Baillie Gifford & Co Limited

119179

29/04/2014

30/06/2016 Modification

COLL 4.5.5

Barclays Asset Management Limited

505543

30/06/2014

30/06/2016 Modification

COLL 4.5.5

Baring Fund Managers Limited

119187

16/04/2014

30/06/2016 Modification

COLL 4.5.5

Baring Multi Asset Investment Funds

494309

11/11/2011

30/06/2014 Modification

COLL 4.5.5

Capita Financial Managers Limited

119197

30/05/2012

30/06/2014 Modification

COLL 4.5.5

Carvetian Capital Management Limited

530809

17/02/2012

30/06/2014 Modification

COLL 4.5.5

Cazenove Capital Management Limited

178732

01/03/2013

30/06/2014 Modification

COLL 4.5.5

City Financial Investment Company Limited

189302

09/07/2012

30/06/2014 Modification

COLL 4.5.5

F & C Fund Management Limited

121940

15/06/2012

30/06/2014 Modification

COLL 4.5.5

F & C Fund Management Limited

121940

20/08/2014

30/06/2016 Modification

3 of 31

New Collective Investment Schemes (Waivers) Rule Ref.

Firm Name

FSA Reg. No.

Start date

Expiry date

Waiver Type

COLL 4.5.5

FIL Investment Services (UK) Limited

121939

31/01/2012

30/06/2014 Modification

COLL 4.5.5

FIL Investment Services (UK) Limited

121939

08/04/2014

30/06/2016 Modification

COLL 4.5.5

Fund Partners Limited

469278

22/08/2012

30/06/2014 Modification

COLL 4.5.5

Fund Partners Limited

469278

23/06/2014

30/06/2016 Modification

COLL 4.5.5

HBOS Investment Fund Managers Limited

119223

30/05/2012

30/06/2014 Modification

COLL 4.5.5

HBOS Investment Fund Managers Limited

119223

21/05/2014

30/06/2016 Modification

COLL 4.5.5

Henderson Investment Funds Limited

121859

25/06/2012

30/06/2014 Modification

COLL 4.5.5

Host Capital Limited

429093

15/10/2012

30/06/2014 Modification

COLL 4.5.5

HSBC Global Asset Management (UK) Limited

122335

31/05/2012

30/06/2014 Modification

COLL 4.5.5

Ignis Fund Managers Limited

122188

05/04/2012

30/06/2014 Modification

COLL 4.5.5

Ignis Fund Managers Limited

122188

07/11/2014

30/06/2016 Modification

COLL 4.5.5

Insight Investment Funds Management Ltd

122259

09/03/2012

30/06/2014 Modification

COLL 4.5.5

Investment Fund Services Ltd

464193

28/08/2012

30/06/2014 Modification

COLL 4.5.5

Investment Fund Services Ltd

464193

07/05/2014

30/06/2016 Modification

COLL 4.5.5

JPMorgan Funds Limited

119346

06/03/2012

30/06/2014 Modification

COLL 4.5.5

JPMorgan Funds Limited

119346

17/04/2014

30/06/2016 Modification

COLL 4.5.5

Jupiter Unit Trust Managers Limited

122488

13/02/2013

30/06/2014 Modification

COLL 4.5.5

Jupiter Unit Trust Managers Limited

122488

28/03/2014

30/06/2016 Modification

COLL 4.5.5

Kames Capital plc

144267

21/02/2014

30/06/2014 Modification

COLL 4.5.5

Kames Capital plc

144267

30/06/2014

30/06/2016 Modification

COLL 4.5.5

Legal & General (Unit Trust Managers) Limited

119273

02/03/2012

30/06/2014 Modification

COLL 4.5.5

Liontrust Fund Partners LLP

518165

17/04/2014

30/06/2016 Modification

COLL 4.5.5

M & G Securities Limited

122057

06/12/2011

30/06/2014 Modification

COLL 4.5.5

M & G Securities Limited

122057

01/05/2014

30/06/2016 Modification

COLL 4.5.5

Maitland Institutional Services Ltd

469627

17/04/2014

30/06/2016 Modification

COLL 4.5.5

Man Managed Funds ICVC

465345

08/02/2012

30/06/2014 Modification

COLL 4.5.5

Margetts Fund Management Limited

208565

11/01/2013

30/06/2014 Modification

COLL 4.5.5

Marlborough Fund Managers Ltd

141660

27/03/2012

30/06/2014 Modification

COLL 4.5.5

Marlborough Fund Managers Ltd

141660

30/06/2014

30/06/2016 Modification

4 of 31

New Collective Investment Schemes (Waivers) Rule Ref.

Firm Name

FSA Reg. No.

Start date

Expiry date

Waiver Type

COLL 4.5.5

MT Capital Management Limited

623887

24/02/2015

30/06/2016 Modification

COLL 4.5.5

N.F.U. Mutual Unit Managers Limited

121922

17/07/2011

30/06/2014 Modification

COLL 4.5.5

N.F.U. Mutual Unit Managers Limited

121922

04/07/2012

30/06/2014 Modification

COLL 4.5.5

Old Mutual Investment Management Limited

208543

15/05/2012

30/06/2014 Modification

COLL 4.5.5

Old Mutual Investment Management Limited

208543

09/04/2014

30/06/2016 Modification

COLL 4.5.5

Partners Group (UK) Ltd

401307

01/09/2015

30/06/2016 Modification

COLL 4.5.5

Premier Portfolio Managers Limited

122067

18/05/2012

30/06/2014 Modification

COLL 4.5.5

Premier Portfolio Managers Limited

122067

30/06/2014

30/06/2016 Modification

COLL 4.5.5

Prudential Unit Trusts Limited

122008

06/12/2011

30/06/2014 Modification

COLL 4.5.5

Prudential Unit Trusts Limited

122008

01/05/2014

30/06/2016 Modification

COLL 4.5.5

Rathbone Unit Trust Management Limited

144266

17/02/2012

30/06/2014 Modification

COLL 4.5.5

Rathbone Unit Trust Management Limited

144266

28/05/2014

30/06/2016 Waiver

COLL 4.5.5

RBS Investment Options ICVC

476834

21/03/2012

30/06/2014 Modification

COLL 4.5.5

RBS Investment Options ICVC

476834

01/07/2016

31/12/2018 Waiver

COLL 4.5.5

Royal London Unit Trust Managers Limited

144037

01/09/2015

30/06/2016 Modification

COLL 4.5.5

Sand Aire Limited

177030

26/01/2015

30/06/2016 Modification

COLL 4.5.5

Santander Asset Management UK Limited

122491

05/02/2014

30/06/2014 Modification

COLL 4.5.5

Santander Asset Management UK Limited

122491

08/04/2014

30/06/2014 Modification

COLL 4.5.5

Sarasin Investment Funds Limited

122244

31/01/2012

30/06/2014 Modification

COLL 4.5.5

Schroder Unit Trusts Limited

197288

22/09/2011

30/06/2014 Modification

COLL 4.5.5

Schroder Unit Trusts Limited

197288

12/05/2014

30/06/2016 Modification

COLL 4.5.5

Scottish Widows Unit Trust Managers Limited

122129

30/05/2012

30/06/2014 Modification

COLL 4.5.5

Scottish Widows Unit Trust Managers Limited

122129

21/05/2014

30/06/2016 Modification

COLL 4.5.5

Seven Investment Management LLP

589124

03/11/2014

30/06/2016 Modification

COLL 4.5.5

Smith & Williamson Fund Administration Limited

122401

06/01/2014

30/06/2014 Modification

COLL 4.5.5

Smith & Williamson Fund Administration Limited

122401

09/04/2014

30/06/2016 Modification

COLL 4.5.5

SMT FUND SERVICES (UK) LIMITED

506492

12/06/2012

30/06/2012 Modification

COLL 4.5.5

St. James's Place Unit Trust Group Limited

122472

12/01/2012

30/06/2014 Modification

COLL 4.5.5

St. James's Place Unit Trust Group Limited

122472

16/04/2014

30/06/2016 Modification

5 of 31

New Collective Investment Schemes (Waivers) Rule Ref.

Firm Name

FSA Reg. No.

Start date

Expiry date

Waiver Type

COLL 4.5.5

Standard Life Investments (Mutual Funds) Limited

146477

29/08/2012

30/06/2014 Modification

COLL 4.5.5

Stonehage Fleming Investment Management Limited

194382

12/05/2014

30/06/2016 Modification

COLL 4.5.5

T. Bailey Fund Services Limited

190293

10/01/2012

30/06/2014 Modification

COLL 4.5.5

T. Bailey Fund Services Limited

190293

15/05/2014

30/06/2016 Modification

COLL 4.5.5

THESIS Unit Trust Management Limited

186882

15/07/2011

30/06/2014 Modification

COLL 4.5.5

Threadneedle Investment Services Limited

190437

19/04/2012

30/06/2014 Modification

COLL 4.5.5

Threadneedle Investment Services Limited

190437

12/05/2014

30/06/2016 Modification

COLL 4.5.5

Threadneedle Unit Trust Manager Limited

119219

12/05/2014

30/06/2016 Modification

COLL 4.5.5

Trapezium Capital Management Limited

537510

20/03/2012

30/06/2014 Modification

COLL 4.5.5

True Potential Investments LLP

527444

16/05/2014

30/06/2016 Modification

COLL 4.5.5

Tutman LLP

612721

03/10/2014

30/06/2016 Modification

COLL 4.5.5

Vanguard Investments UK Ltd

494699

08/12/2011

30/06/2014 Modification

COLL 4.5.5

WAY Fund Managers Limited

194147

20/06/2014

30/06/2016 Modification

COLL 4.5.5

Zurich Investment Services (UK) Limited

628981

25/02/2015

30/06/2016 Modification

COLL 4.5.5 (R)

Architas Multi-Manager Limited

477328

01/07/2016

31/12/2018 Modification

COLL 4.5.5 (R)

Baillie Gifford & Co

142597

25/04/2014

30/06/2016 Modification

COLL 4.5.5 (R)

FIL Investment Services (UK) Limited

121939

01/07/2016

31/12/2018 Modification

COLL 4.5.5 (R)

Friends Life Funds Limited

629488

10/06/2015

30/06/2016 Modification

COLL 4.5.5 (R)

Legal & General (Unit Trust Managers) Limited

119273

01/07/2016

31/12/2018 Modification

COLL 4.5.5 (R)

Man Fund Management UK Limited

185916

01/07/2016

31/12/2018 Modification

COLL 4.5.5 (R)

Margetts Fund Management Limited

208565

01/07/2016

31/12/2018 Modification

COLL 4.5.5 (R)

Novitas Loans Ltd

716962

01/07/2016

31/12/2018 Modification

COLL 4.5.5 (R)

Sarasin Investment Funds Limited

122244

01/07/2016

31/12/2018 Modification

COLL 4.5.5 (R)

Sarasin Investment Funds Limited

122244

11/10/2016

31/12/2018 Modification

COLL 4.5.5 (R)

Schroder Unit Trusts Limited

197288

01/07/2016

31/12/2018 Modification

COLL 4.5.5 (R)

THESIS Unit Trust Management Limited

186882

01/07/2016

31/12/2018 Modification

COLL 4.5.5 (R)

Tutman LLP

612721

01/07/2016

31/12/2018 Modification

COLL 4.5.9

EdenTree Investment Management Limited

527473

15/05/2014

30/06/2016 Modification

COLL 4.5.9

A J Bell Management Limited

211468

06/04/2015

31/10/2016 Modification

6 of 31

New Collective Investment Schemes (Waivers) Rule Ref.

Firm Name

FSA Reg. No.

Start date

Expiry date

Waiver Type

COLL 4.5.9

Aberdeen Asset Fund Management Limited

122135

28/02/2014

30/06/2014 Modification

COLL 4.5.9

Aberdeen Asset Fund Management Limited

122135

01/07/2014

30/06/2016 Modification

COLL 4.5.9

Aberdeen Fund Managers Limited

121803

22/03/2012

30/06/2014 Modification

COLL 4.5.9

Aberdeen Fund Managers Limited

121803

28/03/2014

30/06/2016 Modification

COLL 4.5.9

Alpha Real Capital LLP

436048

11/11/2013

20/06/2014 Modification

COLL 4.5.9

Alpha Real Capital LLP

436048

16/04/2014

30/06/2016 Modification

COLL 4.5.9

Architas Multi-Manager Limited

477328

25/11/2011

30/06/2014 Modification

COLL 4.5.9

Architas Multi-Manager Limited

477328

16/04/2014

30/06/2016 Modification

COLL 4.5.9

Aviva Investors UK Fund Services Limited

119310

10/05/2012

30/06/2014 Modification

COLL 4.5.9

AXA Investment Managers UK Ltd

119368

08/04/2014

30/06/2016 Modification

COLL 4.5.9

Baillie Gifford & Co Limited

119179

17/02/2012

30/06/2014 Modification

COLL 4.5.9

Baillie Gifford & Co Limited

119179

29/04/2014

30/06/2016 Modification

COLL 4.5.9

Barclays Asset Management Limited

505543

30/06/2014

30/06/2016 Modification

COLL 4.5.9

Baring Fund Managers Limited

119187

16/04/2014

30/06/2016 Modification

COLL 4.5.9

Baring Multi Asset Investment Funds

494309

11/11/2011

30/06/2014 Modification

COLL 4.5.9

Capita Financial Managers Limited

119197

30/05/2012

30/06/2014 Modification

COLL 4.5.9

Carvetian Capital Management Limited

530809

17/02/2012

30/06/2014 Modification

COLL 4.5.9

Cazenove Capital Management Limited

178732

01/03/2013

30/06/2014 Modification

COLL 4.5.9

City Financial Investment Company Limited

189302

09/07/2012

30/06/2014 Modification

COLL 4.5.9

F & C Fund Management Limited

121940

15/06/2012

30/06/2014 Modification

COLL 4.5.9

F & C Fund Management Limited

121940

20/08/2014

30/06/2016 Modification

COLL 4.5.9

FIL Investment Services (UK) Limited

121939

31/01/2012

30/06/2014 Modification

COLL 4.5.9

FIL Investment Services (UK) Limited

121939

08/04/2014

30/06/2016 Modification

COLL 4.5.9

Fund Partners Limited

469278

22/08/2012

30/06/2014 Modification

COLL 4.5.9

Fund Partners Limited

469278

23/06/2014

30/06/2016 Modification

COLL 4.5.9

HBOS Investment Fund Managers Limited

119223

30/05/2012

30/06/2014 Modification

COLL 4.5.9

HBOS Investment Fund Managers Limited

119223

21/05/2014

30/06/2016 Modification

COLL 4.5.9

Henderson Investment Funds Limited

121859

25/06/2012

30/06/2014 Modification

COLL 4.5.9

Host Capital Limited

429093

15/10/2012

30/06/2014 Modification

7 of 31

New Collective Investment Schemes (Waivers) Rule Ref.

Firm Name

FSA Reg. No.

Start date

Expiry date

Waiver Type

COLL 4.5.9

HSBC Global Asset Management (UK) Limited

122335

31/05/2012

30/06/2014 Modification

COLL 4.5.9

Ignis Fund Managers Limited

122188

05/04/2012

30/06/2014 Modification

COLL 4.5.9

Ignis Fund Managers Limited

122188

07/11/2014

30/06/2016 Modification

COLL 4.5.9

Insight Investment Funds Management Ltd

122259

09/03/2012

30/06/2014 Modification

COLL 4.5.9

Investment Fund Services Ltd

464193

28/08/2012

30/06/2014 Modification

COLL 4.5.9

Investment Fund Services Ltd

464193

07/05/2014

30/06/2016 Modification

COLL 4.5.9

JPMorgan Funds Limited

119346

06/03/2012

30/06/2014 Modification

COLL 4.5.9

JPMorgan Funds Limited

119346

17/04/2014

30/06/2016 Modification

COLL 4.5.9

Jupiter Unit Trust Managers Limited

122488

13/02/2013

30/06/2014 Modification

COLL 4.5.9

Jupiter Unit Trust Managers Limited

122488

28/03/2014

30/06/2016 Modification

COLL 4.5.9

Kames Capital plc

144267

21/02/2014

30/06/2014 Modification

COLL 4.5.9

Kames Capital plc

144267

30/06/2014

30/06/2016 Modification

COLL 4.5.9

Legal & General (Unit Trust Managers) Limited

119273

02/03/2012

30/06/2014 Modification

COLL 4.5.9

Liontrust Fund Partners LLP

518165

17/04/2014

30/06/2016 Modification

COLL 4.5.9

M & G Securities Limited

122057

06/12/2011

30/06/2014 Modification

COLL 4.5.9

M & G Securities Limited

122057

01/05/2014

30/06/2016 Modification

COLL 4.5.9

Maitland Institutional Services Ltd

469627

17/04/2014

30/06/2016 Modification

COLL 4.5.9

Man Managed Funds ICVC

465345

08/02/2012

30/06/2014 Modification

COLL 4.5.9

Margetts Fund Management Limited

208565

11/01/2013

30/06/2014 Modification

COLL 4.5.9

Marlborough Fund Managers Ltd

141660

27/03/2012

30/06/2014 Modification

COLL 4.5.9

Marlborough Fund Managers Ltd

141660

30/06/2014

30/06/2016 Modification

COLL 4.5.9

MT Capital Management Limited

623887

24/02/2015

30/06/2016 Modification

COLL 4.5.9

N.F.U. Mutual Unit Managers Limited

121922

17/07/2011

30/06/2014 Modification

COLL 4.5.9

N.F.U. Mutual Unit Managers Limited

121922

04/07/2012

30/06/2014 Modification

COLL 4.5.9

Old Mutual Investment Management Limited

208543

15/05/2012

30/06/2014 Modification

COLL 4.5.9

Old Mutual Investment Management Limited

208543

09/04/2014

30/06/2016 Modification

COLL 4.5.9

Partners Group (UK) Ltd

401307

01/09/2015

30/06/2016 Modification

COLL 4.5.9

Premier Portfolio Managers Limited

122067

18/05/2012

30/06/2014 Modification

COLL 4.5.9

Premier Portfolio Managers Limited

122067

30/06/2014

30/06/2016 Modification

8 of 31

New Collective Investment Schemes (Waivers) Rule Ref.

Firm Name

FSA Reg. No.

Start date

Expiry date

Waiver Type

COLL 4.5.9

Prudential Unit Trusts Limited

122008

06/12/2011

30/06/2014 Modification

COLL 4.5.9

Prudential Unit Trusts Limited

122008

01/05/2014

30/06/2016 Modification

COLL 4.5.9

Rathbone Unit Trust Management Limited

144266

17/02/2012

30/06/2014 Modification

COLL 4.5.9

Rathbone Unit Trust Management Limited

144266

28/05/2014

30/06/2016 Waiver

COLL 4.5.9

RBS Investment Options ICVC

476834

21/03/2012

30/06/2014 Modification

COLL 4.5.9

RBS Investment Options ICVC

476834

01/07/2016

31/12/2018 Waiver

COLL 4.5.9

Royal London Unit Trust Managers Limited

144037

01/09/2015

30/06/2016 Modification

COLL 4.5.9

Sand Aire Limited

177030

26/01/2015

30/06/2016 Modification

COLL 4.5.9

Santander Asset Management UK Limited

122491

05/02/2014

30/06/2014 Modification

COLL 4.5.9

Santander Asset Management UK Limited

122491

08/04/2014

30/06/2014 Modification

COLL 4.5.9

Sarasin Investment Funds Limited

122244

31/01/2012

30/06/2014 Modification

COLL 4.5.9

Schroder Unit Trusts Limited

197288

22/09/2011

30/06/2014 Modification

COLL 4.5.9

Schroder Unit Trusts Limited

197288

12/05/2014

30/06/2016 Modification

COLL 4.5.9

Scottish Widows Unit Trust Managers Limited

122129

30/05/2012

30/06/2014 Modification

COLL 4.5.9

Scottish Widows Unit Trust Managers Limited

122129

21/05/2014

30/06/2016 Modification

COLL 4.5.9

Seven Investment Management LLP

589124

03/11/2014

30/06/2016 Modification

COLL 4.5.9

Smith & Williamson Fund Administration Limited

122401

06/01/2014

30/06/2014 Modification

COLL 4.5.9

Smith & Williamson Fund Administration Limited

122401

09/04/2014

30/06/2016 Modification

COLL 4.5.9

SMT FUND SERVICES (UK) LIMITED

506492

12/06/2012

30/06/2012 Modification

COLL 4.5.9

St. James's Place Unit Trust Group Limited

122472

12/01/2012

30/06/2014 Modification

COLL 4.5.9

St. James's Place Unit Trust Group Limited

122472

16/04/2014

30/06/2016 Modification

COLL 4.5.9

Standard Life Investments (Mutual Funds) Limited

146477

29/08/2012

30/06/2014 Modification

COLL 4.5.9

Stonehage Fleming Investment Management Limited

194382

12/05/2014

30/06/2016 Modification

COLL 4.5.9

T. Bailey Fund Services Limited

190293

10/01/2012

30/06/2014 Modification

COLL 4.5.9

T. Bailey Fund Services Limited

190293

15/05/2014

30/06/2016 Modification

COLL 4.5.9

THESIS Unit Trust Management Limited

186882

15/07/2011

30/06/2014 Modification

COLL 4.5.9

Threadneedle Investment Services Limited

190437

19/04/2012

30/06/2014 Modification

COLL 4.5.9

Threadneedle Investment Services Limited

190437

12/05/2014

30/06/2016 Modification

COLL 4.5.9

Threadneedle Unit Trust Manager Limited

119219

12/05/2014

30/06/2016 Modification

9 of 31

New Collective Investment Schemes (Waivers) Rule Ref.

Firm Name

FSA Reg. No.

Start date

Expiry date

Waiver Type

COLL 4.5.9

Trapezium Capital Management Limited

537510

20/03/2012

30/06/2014 Modification

COLL 4.5.9

True Potential Investments LLP

527444

16/05/2014

30/06/2016 Modification

COLL 4.5.9

Tutman LLP

612721

03/10/2014

30/06/2016 Modification

COLL 4.5.9

Vanguard Investments UK Ltd

494699

08/12/2011

30/06/2014 Modification

COLL 4.5.9

WAY Fund Managers Limited

194147

20/06/2014

30/06/2016 Modification

COLL 4.5.9

Zurich Investment Services (UK) Limited

628981

25/02/2015

30/06/2016 Modification

COLL 4.5.9 (R)

Baillie Gifford & Co

142597

25/04/2014

30/06/2016 Modification

COLL 4.5.9 (R)

FIL Investment Services (UK) Limited

121939

01/07/2016

31/12/2018 Modification

COLL 4.5.9 (R)

Friends Life Funds Limited

629488

10/06/2015

30/06/2016 Modification

COLL 4.5.9 (R)

Legal & General (Unit Trust Managers) Limited

119273

01/07/2016

31/12/2018 Modification

COLL 4.5.9 (R)

Man Fund Management UK Limited

185916

01/07/2016

31/12/2018 Modification

COLL 4.5.9 (R)

Margetts Fund Management Limited

208565

01/07/2016

31/12/2018 Modification

COLL 4.5.9 (R)

Novitas Loans Ltd

716962

01/07/2016

31/12/2018 Modification

COLL 4.5.9 (R)

Sarasin Investment Funds Limited

122244

11/10/2016

31/12/2018 Modification

COLL 4.5.9 (R)

Schroder Unit Trusts Limited

197288

01/07/2016

31/12/2018 Modification

COLL 4.5.9 (R)

THESIS Unit Trust Management Limited

186882

01/07/2016

31/12/2018 Modification

COLL 4.5.9 (R)

Tutman LLP

612721

01/07/2016

31/12/2018 Modification

COLL 4.5.10

Praemium Administration Limited

463566

31/03/2008

30/03/2013 Modification

COLL 4.5.10

Praemium Administration Limited

463566

02/06/2009

01/06/2014 Modification

COLL 4.5.10 (R)

Praemium Administration Limited

463566

28/08/2015

27/08/2020 Waiver

COLL 4.5.13

Ignis Fund Managers Limited

122188

22/01/2007

21/01/2010 Modification

COLL 4.5.13

Ignis Fund Managers Limited

122188

21/01/2010

01/09/2010 Waiver

COLL 4.5.13

Ignis Fund Managers Limited

122188

01/09/2010

01/09/2013 Waiver

COLL 4.5.13

Ignis Fund Managers Limited

122188

21/11/2013

21/11/2018 Waiver

COLL 4.5.13

Ignis Fund Managers Limited

122188

21/01/2014

21/11/2018 Modification

COLL 4.5.13

Phoenix Unit Trust Managers Limited

651226

02/11/2015

10/11/2016 Modification

COLL 4.5.13

Royal London Unit Trust Managers Limited

144037

17/05/2012

16/05/2015 Modification

COLL 4.5.13

Threadneedle Investment Services Limited

190437

16/03/2010

15/03/2013 Modification

COLL 4.5.13

Threadneedle Investment Services Limited

190437

18/03/2013

17/03/2016 Modification

10 of 31

New Collective Investment Schemes (Waivers) Rule Ref.

Firm Name

FSA Reg. No.

Start date

Expiry date

Waiver Type

COLL 4.5.14

Ignis Fund Managers Limited

122188

22/01/2007

21/01/2010 Modification

COLL 4.5.14

Ignis Fund Managers Limited

122188

01/09/2010

01/09/2013 Waiver

COLL 4.5.14

Ignis Fund Managers Limited

122188

21/11/2013

21/11/2018 Waiver

COLL 4.5.14

Ignis Fund Managers Limited

122188

21/01/2014

21/11/2018 Modification

COLL 4.5.14

Phoenix Unit Trust Managers Limited

651226

02/11/2015

10/11/2016 Modification

COLL 4.5.14

Threadneedle Investment Services Limited

190437

16/03/2010

15/03/2013 Modification

COLL 4.5.14

Threadneedle Investment Services Limited

190437

18/03/2013

17/03/2016 Modification

COLL 4.5.14 (2)

Ignis Fund Managers Limited

122188

21/01/2010

01/09/2010 Waiver

COLL 4.5.14 (2)

Royal London Unit Trust Managers Limited

144037

17/05/2012

16/05/2015 Modification

COLL 4.5.4R

Standard Life Investments (Mutual Funds) Limited

146477

01/07/2016

31/12/2018 Modification

COLL 4.5.5R

EdenTree Investment Management Limited

527473

01/07/2016

31/12/2018 Modification

COLL 4.5.5R

Aberdeen Fund Managers Limited

121803

01/07/2016

31/12/2018 Modification

COLL 4.5.5R

Alpha Real Capital LLP

436048

01/07/2016

31/12/2018 Modification

COLL 4.5.5R

Aviva Investors UK Fund Services Limited

119310

05/06/2014

30/06/2016 Modification

COLL 4.5.5R

Aviva Investors UK Fund Services Limited

119310

01/07/2016

31/12/2018 Modification

COLL 4.5.5R

Baillie Gifford & Co Limited

119179

01/07/2016

31/12/2018 Modification

COLL 4.5.5R

Baring Fund Managers Limited

119187

01/07/2016

31/12/2018 Modification

COLL 4.5.5R

BNY Mellon Fund Managers Limited

122007

04/07/2016

31/12/2018 Modification

COLL 4.5.5R

Capita Financial Managers Limited

119197

01/07/2016

31/12/2018 Modification

COLL 4.5.5R

Carvetian Capital Management Limited

530809

01/07/2016

31/12/2018 Modification

COLL 4.5.5R

Close Asset Management (UK) Limited

175827

01/07/2016

31/12/2018 Modification

COLL 4.5.5R

Courtiers Asset Management Limited

616322

15/09/2015

30/06/2016 Modification

COLL 4.5.5R

Courtiers Asset Management Limited

616322

01/07/2016

31/12/2018 Modification

COLL 4.5.5R

F & C Fund Management Limited

121940

01/07/2016

31/12/2018 Modification

COLL 4.5.5R

Friends Life Funds Limited

629488

01/07/2016

31/12/2018 Modification

COLL 4.5.5R

Fund Partners Limited

469278

01/07/2016

31/12/2018 Modification

COLL 4.5.5R

HBOS Investment Fund Managers Limited

119223

16/06/2016

31/12/2016 Modification

COLL 4.5.5R

Henderson Investment Funds Limited

121859

01/07/2016

31/12/2018 Modification

COLL 4.5.5R

Host Capital Limited

429093

01/07/2016

31/12/2018 Modification

11 of 31

New Collective Investment Schemes (Waivers) Rule Ref.

Firm Name

FSA Reg. No.

Start date

Expiry date

Waiver Type

COLL 4.5.5R

HSBC Global Asset Management (UK) Limited

122335

30/06/2014

30/06/2016 Modification

COLL 4.5.5R

HSBC Global Asset Management (UK) Limited

122335

01/07/2016

31/12/2018 Modification

COLL 4.5.5R

HSBC Investment Funds of Funds

407802

30/06/2014

30/06/2016 Modification

COLL 4.5.5R

HSBC Openfunds

457011

30/06/2014

30/06/2016 Modification

COLL 4.5.5R

Investment Fund Services Ltd

464193

01/07/2016

31/12/2018 Modification

COLL 4.5.5R

JPMorgan Funds Limited

119346

01/07/2016

31/12/2018 Modification

COLL 4.5.5R

Kames Capital plc

144267

01/07/2016

31/12/2018 Modification

COLL 4.5.5R

Legal & General (Unit Trust Managers) Limited

119273

29/05/2014

30/06/2016 Modification

COLL 4.5.5R

M & G Securities Limited

122057

01/07/2016

31/12/2018 Modification

COLL 4.5.5R

Maitland Institutional Services Ltd

469627

01/07/2016

31/12/2018 Modification

COLL 4.5.5R

Man Managed Funds ICVC

465345

30/06/2014

30/06/2016 Modification

COLL 4.5.5R

Marlborough Fund Managers Ltd

141660

01/07/2016

31/12/2018 Modification

COLL 4.5.5R

MT Capital Management Limited

623887

01/07/2016

31/12/2018 Modification

COLL 4.5.5R

Old Mutual Investment Management Limited

208543

01/07/2016

31/12/2018 Modification

COLL 4.5.5R

Partners Group (UK) Ltd

401307

01/07/2016

31/12/2018 Modification

COLL 4.5.5R

Premier Portfolio Managers Limited

122067

01/07/2016

31/12/2018 Modification

COLL 4.5.5R

RBS Investment Options ICVC

476834

30/06/2014

30/06/2016 Modification

COLL 4.5.5R

Royal London Unit Trust Managers Limited

144037

01/07/2016

31/12/2018 Modification

COLL 4.5.5R

Scottish Widows Unit Trust Managers Limited

122129

01/07/2016

31/12/2018 Modification

COLL 4.5.5R

Smith & Williamson Fund Administration Limited

122401

01/07/2016

31/12/2018 Modification

COLL 4.5.5R

St. James's Place Unit Trust Group Limited

122472

01/07/2016

31/12/2018 Modification

COLL 4.5.5R

Stonehage Fleming Investment Management Limited

194382

01/07/2016

31/12/2018 Modification

COLL 4.5.5R

THESIS Unit Trust Management Limited

186882

19/06/2014

30/06/2016 Modification

COLL 4.5.5R

Threadneedle Investment Services Limited

190437

01/07/2016

31/12/2018 Modification

COLL 4.5.5R

Zurich Investment Services (UK) Limited

628981

01/07/2016

31/12/2018 Modification

COLL 4.5.9R

EdenTree Investment Management Limited

527473

01/07/2016

31/12/2018 Modification

COLL 4.5.9R

Aberdeen Fund Managers Limited

121803

01/07/2016

31/12/2018 Modification

COLL 4.5.9R

Alpha Real Capital LLP

436048

01/07/2016

31/12/2018 Modification

COLL 4.5.9R

Architas Multi-Manager Limited

477328

01/07/2016

31/12/2018 Modification

12 of 31

New Collective Investment Schemes (Waivers) Rule Ref.

Firm Name

FSA Reg. No.

Start date

Expiry date

Waiver Type

COLL 4.5.9R

Aviva Investors UK Fund Services Limited

119310

05/06/2014

30/06/2016 Modification

COLL 4.5.9R

Aviva Investors UK Fund Services Limited

119310

01/07/2016

31/12/2018 Modification

COLL 4.5.9R

Baillie Gifford & Co Limited

119179

01/07/2016

31/12/2018 Modification

COLL 4.5.9R

Baring Fund Managers Limited

119187

01/07/2016

31/12/2018 Modification

COLL 4.5.9R

BNY Mellon Fund Managers Limited

122007

04/07/2016

31/12/2018 Modification

COLL 4.5.9R

Capita Financial Managers Limited

119197

01/07/2016

31/12/2018 Modification

COLL 4.5.9R

Carvetian Capital Management Limited

530809

01/07/2016

31/12/2018 Modification

COLL 4.5.9R

Close Asset Management (UK) Limited

175827

01/07/2016

31/12/2018 Modification

COLL 4.5.9R

Courtiers Asset Management Limited

616322

15/09/2015

30/06/2016 Modification

COLL 4.5.9R

Courtiers Asset Management Limited

616322

01/07/2016

31/12/2018 Modification

COLL 4.5.9R

F & C Fund Management Limited

121940

01/07/2016

31/12/2018 Modification

COLL 4.5.9R

Friends Life Funds Limited

629488

01/07/2016

31/12/2018 Modification

COLL 4.5.9R

Fund Partners Limited

469278

01/07/2016

31/12/2018 Modification

COLL 4.5.9R

HBOS Investment Fund Managers Limited

119223

16/06/2016

31/12/2016 Modification

COLL 4.5.9R

Henderson Investment Funds Limited

121859

01/07/2016

31/12/2018 Modification

COLL 4.5.9R

Host Capital Limited

429093

01/07/2016

31/12/2018 Modification

COLL 4.5.9R

HSBC Global Asset Management (UK) Limited

122335

30/06/2014

30/06/2016 Modification

COLL 4.5.9R

HSBC Global Asset Management (UK) Limited

122335

01/07/2016

31/12/2018 Modification

COLL 4.5.9R

HSBC Investment Funds of Funds

407802

30/06/2014

30/06/2016 Modification

COLL 4.5.9R

HSBC Openfunds

457011

30/06/2014

30/06/2016 Modification

COLL 4.5.9R

Investment Fund Services Ltd

464193

01/07/2016

31/12/2018 Modification

COLL 4.5.9R

JPMorgan Funds Limited

119346

01/07/2016

31/12/2018 Modification

COLL 4.5.9R

Kames Capital plc

144267

01/07/2016

31/12/2018 Modification

COLL 4.5.9R

Legal & General (Unit Trust Managers) Limited

119273

29/05/2014

30/06/2016 Modification

COLL 4.5.9R

M & G Securities Limited

122057

01/07/2016

31/12/2018 Modification

COLL 4.5.9R

Maitland Institutional Services Ltd

469627

01/07/2016

31/12/2018 Modification

COLL 4.5.9R

Man Managed Funds ICVC

465345

30/06/2014

30/06/2016 Modification

COLL 4.5.9R

Marlborough Fund Managers Ltd

141660

01/07/2016

31/12/2018 Modification

COLL 4.5.9R

MT Capital Management Limited

623887

01/07/2016

31/12/2018 Modification

13 of 31

New Collective Investment Schemes (Waivers) Rule Ref.

Firm Name

FSA Reg. No.

Start date

Expiry date

Waiver Type

COLL 4.5.9R

Old Mutual Investment Management Limited

208543

01/07/2016

31/12/2018 Modification

COLL 4.5.9R

Partners Group (UK) Ltd

401307

01/07/2016

31/12/2018 Modification

COLL 4.5.9R

Premier Portfolio Managers Limited

122067

01/07/2016

31/12/2018 Modification

COLL 4.5.9R

RBS Investment Options ICVC

476834

30/06/2014

30/06/2016 Modification

COLL 4.5.9R

Royal London Unit Trust Managers Limited

144037

01/07/2016

31/12/2018 Modification

COLL 4.5.9R

Sarasin Investment Funds Limited

122244

01/07/2016

31/12/2018 Modification

COLL 4.5.9R

Scottish Widows Unit Trust Managers Limited

122129

01/07/2016

31/12/2018 Modification

COLL 4.5.9R

Smith & Williamson Fund Administration Limited

122401

01/07/2016

31/12/2018 Modification

COLL 4.5.9R

St. James's Place Unit Trust Group Limited

122472

01/07/2016

31/12/2018 Modification

COLL 4.5.9R

Standard Life Investments (Mutual Funds) Limited

146477

01/07/2016

31/12/2018 Modification

COLL 4.5.9R

Stonehage Fleming Investment Management Limited

194382

01/07/2016

31/12/2018 Modification

COLL 4.5.9R

THESIS Unit Trust Management Limited

186882

19/06/2014

30/06/2016 Modification

COLL 4.5.9R

Threadneedle Investment Services Limited

190437

01/07/2016

31/12/2018 Modification

COLL 4.5.9R

Zurich Investment Services (UK) Limited

628981

01/07/2016

31/12/2018 Modification

COLL 4.7.1

EdenTree Investment Management Limited

527473

15/05/2014

30/06/2016 Modification

COLL 4.7.1

Aberdeen Asset Fund Management Limited

122135

28/02/2014

30/06/2014 Modification

COLL 4.7.1

Aberdeen Asset Fund Management Limited

122135

01/07/2014

30/06/2016 Modification

COLL 4.7.1

Aberdeen Fund Managers Limited

121803

22/03/2012

30/06/2014 Modification

COLL 4.7.1

Aberdeen Fund Managers Limited

121803

28/03/2014

30/06/2016 Modification

COLL 4.7.1

Alpha Real Capital LLP

436048

11/11/2013

20/06/2014 Modification

COLL 4.7.1

Alpha Real Capital LLP

436048

16/04/2014

30/06/2016 Modification

COLL 4.7.1

Architas Multi-Manager Limited

477328

25/11/2011

30/06/2014 Modification

COLL 4.7.1

Architas Multi-Manager Limited

477328

16/04/2014

30/06/2016 Modification

COLL 4.7.1

Aviva Investors UK Fund Services Limited

119310

10/05/2012

30/06/2014 Modification

COLL 4.7.1

AXA Investment Managers UK Ltd

119368

08/04/2014

30/06/2016 Modification

COLL 4.7.1

Baillie Gifford & Co Limited

119179

17/02/2012

30/06/2014 Modification

COLL 4.7.1

Barclays Asset Management Limited

505543

30/06/2014

30/06/2016 Modification

COLL 4.7.1

Baring Fund Managers Limited

119187

16/04/2014

30/06/2016 Modification

COLL 4.7.1

Baring Multi Asset Investment Funds

494309

11/11/2011

30/06/2014 Modification

14 of 31

New Collective Investment Schemes (Waivers) Rule Ref.

Firm Name

FSA Reg. No.

Start date

Expiry date

Waiver Type

COLL 4.7.1

Capita Financial Managers Limited

119197

30/05/2012

30/06/2014 Modification

COLL 4.7.1

Carvetian Capital Management Limited

530809

17/02/2012

30/06/2014 Modification

COLL 4.7.1

Cazenove Capital Management Limited

178732

01/03/2013

30/06/2014 Modification

COLL 4.7.1

City Financial Investment Company Limited

189302

09/07/2012

30/06/2014 Modification

COLL 4.7.1

F & C Fund Management Limited

121940

15/06/2012

30/06/2014 Modification

COLL 4.7.1

FIL Investment Services (UK) Limited

121939

31/01/2012

30/06/2014 Modification

COLL 4.7.1

FIL Investment Services (UK) Limited

121939

08/04/2014

30/06/2016 Modification

COLL 4.7.1

Fund Partners Limited

469278

22/08/2012

30/06/2014 Modification

COLL 4.7.1

HBOS Investment Fund Managers Limited

119223

30/05/2012

30/06/2014 Modification

COLL 4.7.1

Henderson Investment Funds Limited

121859

25/06/2012

30/06/2014 Modification

COLL 4.7.1

Host Capital Limited

429093

15/10/2012

30/06/2014 Modification

COLL 4.7.1

HSBC Global Asset Management (UK) Limited

122335

31/05/2012

30/06/2014 Modification

COLL 4.7.1

Ignis Fund Managers Limited

122188

05/04/2012

30/06/2014 Modification

COLL 4.7.1

Ignis Fund Managers Limited

122188

07/11/2014

30/06/2016 Modification

COLL 4.7.1

Insight Investment Funds Management Ltd

122259

09/03/2012

30/06/2014 Modification

COLL 4.7.1

Investment Fund Services Ltd

464193

28/08/2012

30/06/2014 Modification

COLL 4.7.1

Investment Fund Services Ltd

464193

07/05/2014

30/06/2016 Modification

COLL 4.7.1

JPMorgan Funds Limited

119346

06/03/2012

30/06/2014 Modification

COLL 4.7.1

JPMorgan Funds Limited

119346

17/04/2014

30/06/2016 Modification

COLL 4.7.1

Jupiter Unit Trust Managers Limited

122488

13/02/2013

30/06/2014 Modification

COLL 4.7.1

Jupiter Unit Trust Managers Limited

122488

28/03/2014

30/06/2016 Modification

COLL 4.7.1

Kames Capital plc

144267

21/02/2014

30/06/2014 Modification

COLL 4.7.1

Kames Capital plc

144267

30/06/2014

30/06/2016 Modification

COLL 4.7.1

Legal & General (Unit Trust Managers) Limited

119273

02/03/2012

30/06/2014 Modification

COLL 4.7.1

Liontrust Fund Partners LLP

518165

17/04/2014

30/06/2016 Modification

COLL 4.7.1

M & G Securities Limited

122057

06/12/2011

30/06/2014 Modification

COLL 4.7.1

M & G Securities Limited

122057

01/05/2014

30/06/2016 Modification

COLL 4.7.1

Maitland Institutional Services Ltd

469627

17/04/2014

30/06/2016 Modification

COLL 4.7.1

Man Managed Funds ICVC

465345

08/02/2012

30/06/2014 Modification

15 of 31

New Collective Investment Schemes (Waivers) Rule Ref.

Firm Name

FSA Reg. No.

Start date

Expiry date

Waiver Type

COLL 4.7.1

Margetts Fund Management Limited

208565

11/01/2013

30/06/2014 Modification

COLL 4.7.1

Marlborough Fund Managers Ltd

141660

27/03/2012

30/06/2014 Modification

COLL 4.7.1

Marlborough Fund Managers Ltd

141660

30/06/2014

30/06/2016 Modification

COLL 4.7.1

N.F.U. Mutual Unit Managers Limited

121922

17/07/2011

30/06/2014 Modification

COLL 4.7.1

N.F.U. Mutual Unit Managers Limited

121922

04/07/2012

30/06/2014 Modification

COLL 4.7.1

Old Mutual Investment Management Limited

208543

15/05/2012

30/06/2014 Modification

COLL 4.7.1

Old Mutual Investment Management Limited

208543

09/04/2014

30/06/2016 Modification

COLL 4.7.1

Premier Portfolio Managers Limited

122067

18/05/2012

30/06/2014 Modification

COLL 4.7.1

Premier Portfolio Managers Limited

122067

30/06/2014

30/06/2016 Modification

COLL 4.7.1

Prudential Unit Trusts Limited

122008

06/12/2011

30/06/2014 Modification

COLL 4.7.1

Prudential Unit Trusts Limited

122008

01/05/2014

30/06/2016 Modification

COLL 4.7.1

Rathbone Unit Trust Management Limited

144266

17/02/2012

30/06/2014 Modification

COLL 4.7.1

Rathbone Unit Trust Management Limited

144266

28/05/2014

30/06/2016 Waiver

COLL 4.7.1

RBS Investment Options ICVC

476834

21/03/2012

30/06/2014 Modification

COLL 4.7.1

Sand Aire Limited

177030

26/01/2015

30/06/2016 Modification

COLL 4.7.1

Santander Asset Management UK Limited

122491

08/04/2014

30/06/2014 Modification

COLL 4.7.1

Sarasin Investment Funds Limited

122244

31/01/2012

30/06/2014 Modification

COLL 4.7.1

Schroder Unit Trusts Limited

197288

22/09/2011

30/06/2014 Modification

COLL 4.7.1

Schroder Unit Trusts Limited

197288

12/05/2014

30/06/2016 Modification

COLL 4.7.1

Scottish Widows Unit Trust Managers Limited

122129

30/05/2012

30/06/2014 Modification

COLL 4.7.1

Smith & Williamson Fund Administration Limited

122401

06/01/2014

30/06/2014 Modification

COLL 4.7.1

Smith & Williamson Fund Administration Limited

122401

09/04/2014

30/06/2016 Modification

COLL 4.7.1

SMT FUND SERVICES (UK) LIMITED

506492

12/06/2012

30/06/2012 Modification

COLL 4.7.1

St. James's Place Unit Trust Group Limited

122472

12/01/2012

30/06/2014 Modification

COLL 4.7.1

St. James's Place Unit Trust Group Limited

122472

16/04/2014

30/06/2016 Modification

COLL 4.7.1

Standard Life Investments (Mutual Funds) Limited

146477

29/08/2012

30/06/2014 Modification

COLL 4.7.1

Stonehage Fleming Investment Management Limited

194382

12/05/2014

30/06/2016 Modification

COLL 4.7.1

T. Bailey Fund Services Limited

190293

10/01/2012

30/06/2014 Modification

COLL 4.7.1

T. Bailey Fund Services Limited

190293

15/05/2014

30/06/2016 Modification

16 of 31

New Collective Investment Schemes (Waivers) Rule Ref.

Firm Name

FSA Reg. No.

Start date

Expiry date

Waiver Type

COLL 4.7.1

THESIS Unit Trust Management Limited

186882

15/07/2011

30/06/2014 Modification

COLL 4.7.1

Threadneedle Investment Services Limited

190437

19/04/2012

30/06/2014 Modification

COLL 4.7.1

Threadneedle Investment Services Limited

190437

12/05/2014

30/06/2016 Modification

COLL 4.7.1

Threadneedle Unit Trust Manager Limited

119219

12/05/2014

30/06/2016 Modification

COLL 4.7.1

Trapezium Capital Management Limited

537510

20/03/2012

30/06/2014 Modification

COLL 4.7.1

Vanguard Investments UK Ltd

494699

08/12/2011

30/06/2014 Modification

COLL 4.7.1

WAY Fund Managers Limited

194147

20/06/2014

30/06/2016 Modification

COLL 4.7.1

Zurich Investment Services (UK) Limited

628981

25/02/2015

30/06/2016 Modification

COLL 4.7.1 (AR)

Architas Multi-Manager Limited

477328

01/07/2016

31/12/2018 Modification

COLL 4.7.1 (AR)

Baillie Gifford & Co

142597

25/04/2014

30/06/2016 Modification

COLL 4.7.1 (AR)

FIL Investment Services (UK) Limited

121939

01/07/2016

31/12/2018 Modification

COLL 4.7.1 (AR)

Friends Life Funds Limited

629488

01/07/2016

31/12/2018 Modification

COLL 4.7.1 (AR)

Legal & General (Unit Trust Managers) Limited

119273

01/07/2016

31/12/2018 Modification

COLL 4.7.1 (AR)

Man Fund Management UK Limited

185916

01/07/2016

31/12/2018 Modification

COLL 4.7.1 (AR)

Margetts Fund Management Limited

208565

01/07/2016

31/12/2018 Modification

COLL 4.7.1 (AR)

Premier Portfolio Managers Limited

122067

01/07/2016

31/12/2018 Modification

COLL 4.7.1 (AR)

Sarasin Investment Funds Limited

122244

11/10/2016

31/12/2018 Modification

COLL 4.7.1 (AR)

Schroder Unit Trusts Limited

197288

01/07/2016

31/12/2018 Modification

COLL 4.7.1 (AR)

THESIS Unit Trust Management Limited

186882

01/07/2016

31/12/2018 Modification

COLL 4.7.1 (AR)

Tutman LLP

612721

01/07/2016

31/12/2018 Modification

COLL 4.7.1 (R)

Courtiers Asset Management Limited

616322

15/09/2015

30/06/2016 Modification

COLL 4.7.1A

A J Bell Management Limited

211468

06/04/2015

31/10/2016 Modification

COLL 4.7.1A

Baillie Gifford & Co Limited

119179

29/04/2014

30/06/2016 Modification

COLL 4.7.1A

F & C Fund Management Limited

121940

20/08/2014

30/06/2016 Modification

COLL 4.7.1A

Fund Partners Limited

469278

23/06/2014

30/06/2016 Modification

COLL 4.7.1A

HBOS Investment Fund Managers Limited

119223

21/05/2014

30/06/2016 Modification

COLL 4.7.1A

MT Capital Management Limited

623887

24/02/2015

30/06/2016 Modification

COLL 4.7.1A

Partners Group (UK) Ltd

401307

01/09/2015

30/06/2016 Modification

COLL 4.7.1A

RBS Investment Options ICVC

476834

31/03/2015

30/06/2016 Modification

17 of 31

New Collective Investment Schemes (Waivers) Rule Ref.

Firm Name

FSA Reg. No.

Start date

Expiry date

Waiver Type

COLL 4.7.1A

RBS Investment Options ICVC

476834

01/07/2016

31/12/2018 Waiver

COLL 4.7.1A

Royal London Unit Trust Managers Limited

144037

01/09/2015

30/06/2016 Modification

COLL 4.7.1A

Scottish Widows Unit Trust Managers Limited

122129

21/05/2014

30/06/2016 Modification

COLL 4.7.1A

Seven Investment Management LLP

589124

03/11/2014

30/06/2016 Modification

COLL 4.7.1A

True Potential Investments LLP

527444

16/05/2014

30/06/2016 Modification

COLL 4.7.1A

Tutman LLP

612721

03/10/2014

30/06/2016 Modification

COLL 4.7.1A (R)

Friends Life Funds Limited

629488

10/06/2015

30/06/2016 Modification

COLL 4.7.1A (R)

Novitas Loans Ltd

716962

01/07/2016

31/12/2018 Modification

COLL 4.7.1AR

EdenTree Investment Management Limited

527473

01/07/2016

31/12/2018 Modification

COLL 4.7.1AR

Aberdeen Fund Managers Limited

121803

01/07/2016

31/12/2018 Modification

COLL 4.7.1AR

Alpha Real Capital LLP

436048

01/07/2016

31/12/2018 Modification

COLL 4.7.1AR

Aviva Investors UK Fund Services Limited

119310

01/07/2016

31/12/2018 Modification

COLL 4.7.1AR

Baillie Gifford & Co Limited

119179

01/07/2016

31/12/2018 Modification

COLL 4.7.1AR

Baring Fund Managers Limited

119187

01/07/2016

31/12/2018 Modification

COLL 4.7.1AR

BNY Mellon Fund Managers Limited

122007

04/07/2016

31/12/2018 Modification

COLL 4.7.1AR

Capita Financial Managers Limited

119197

01/07/2016

31/12/2018 Modification

COLL 4.7.1AR

Carvetian Capital Management Limited

530809

01/07/2016

31/12/2018 Modification

COLL 4.7.1AR

Close Asset Management (UK) Limited

175827

01/07/2016

31/12/2018 Modification

COLL 4.7.1AR

Courtiers Asset Management Limited

616322

01/07/2016

31/12/2018 Modification

COLL 4.7.1AR

F & C Fund Management Limited

121940

01/07/2016

31/12/2018 Modification

COLL 4.7.1AR

Fund Partners Limited

469278

01/07/2016

31/12/2018 Modification

COLL 4.7.1AR

HBOS Investment Fund Managers Limited

119223

16/06/2016

31/12/2016 Modification

COLL 4.7.1AR

Henderson Investment Funds Limited

121859

01/07/2016

31/12/2018 Modification

COLL 4.7.1AR

Host Capital Limited

429093

01/07/2016

31/12/2018 Modification

COLL 4.7.1AR

HSBC Global Asset Management (UK) Limited

122335

01/07/2016

31/12/2018 Modification

COLL 4.7.1AR

Investment Fund Services Ltd

464193

01/07/2016

31/12/2018 Modification

COLL 4.7.1AR

JPMorgan Funds Limited

119346

01/07/2016

31/12/2018 Modification

COLL 4.7.1AR

Kames Capital plc

144267

01/07/2016

31/12/2018 Modification

COLL 4.7.1AR

Legal & General (Unit Trust Managers) Limited

119273

29/05/2014

30/06/2016 Modification

18 of 31

New Collective Investment Schemes (Waivers) Rule Ref.

Firm Name

FSA Reg. No.

Start date

Expiry date

Waiver Type

COLL 4.7.1AR

M & G Securities Limited

122057

01/07/2016

31/12/2018 Modification

COLL 4.7.1AR

Maitland Institutional Services Ltd

469627

01/07/2016

31/12/2018 Modification

COLL 4.7.1AR

Marlborough Fund Managers Ltd

141660

01/07/2016

31/12/2018 Modification

COLL 4.7.1AR

MT Capital Management Limited

623887

01/07/2016

31/12/2018 Modification

COLL 4.7.1AR

Old Mutual Investment Management Limited

208543

01/07/2016

31/12/2018 Modification

COLL 4.7.1AR

Partners Group (UK) Ltd

401307

01/07/2016

31/12/2018 Modification

COLL 4.7.1AR

Royal London Unit Trust Managers Limited

144037

01/07/2016

31/12/2018 Modification

COLL 4.7.1AR

Sarasin Investment Funds Limited

122244

01/07/2016

31/12/2018 Modification

COLL 4.7.1AR

Scottish Widows Unit Trust Managers Limited

122129

01/07/2016

31/12/2018 Modification

COLL 4.7.1AR

Smith & Williamson Fund Administration Limited

122401

01/07/2016

31/12/2018 Modification

COLL 4.7.1AR

St. James's Place Unit Trust Group Limited

122472

01/07/2016

31/12/2018 Modification

COLL 4.7.1AR

Standard Life Investments (Mutual Funds) Limited

146477

01/07/2016

31/12/2018 Modification

COLL 4.7.1AR

Stonehage Fleming Investment Management Limited

194382

01/07/2016

31/12/2018 Modification

COLL 4.7.1AR

Threadneedle Investment Services Limited

190437

01/07/2016

31/12/2018 Modification

COLL 4.7.1AR

Zurich Investment Services (UK) Limited

628981

01/07/2016

31/12/2018 Modification

COLL 4.7.1R

Aviva Investors UK Fund Services Limited

119310

05/06/2014

30/06/2016 Modification

COLL 4.7.1R

HSBC Global Asset Management (UK) Limited

122335

30/06/2014

30/06/2016 Modification

COLL 4.7.1R

HSBC Investment Funds of Funds

407802

30/06/2014

30/06/2016 Modification

COLL 4.7.1R

HSBC Openfunds

457011

30/06/2014

30/06/2016 Modification

COLL 4.7.1R

Man Managed Funds ICVC

465345

30/06/2014

30/06/2016 Modification

COLL 4.7.1R

RBS Investment Options ICVC

476834

30/06/2014

30/06/2016 Modification

COLL 4.7.1R

THESIS Unit Trust Management Limited

186882

19/06/2014

30/06/2016 Modification

COLL 5.2.13

Gartmore Investment Limited

119236

12/05/2006

31/12/2006 Modification

COLL 5.2.13

Intrinsic Cirilium Investment Company Limited

195747

12/06/2006

31/12/2006 Modification

COLL 5.2.13

JPMorgan Funds Limited

119346

18/12/2006

31/12/2006 Modification

COLL 5.2.13

Legal & General (Unit Trust Managers) Limited

119273

15/05/2006

31/12/2006 Modification

COLL 5.2.13

Optimum Investment Management Limited

122610

12/05/2006

31/12/2006 Modification

COLL 5.2.13

Threadneedle Investment Services Limited

190437

19/04/2006

31/12/2006 Modification

COLL 5.2.13

Threadneedle Unit Trust Manager Limited

119219

19/04/2006

31/12/2006 Modification

19 of 31

New Collective Investment Schemes (Waivers) Rule Ref.

Firm Name

FSA Reg. No.

Start date

Expiry date

Waiver Type

COLL 5.2.23 (2)

Fund Partners Limited

469278

26/10/2009

31/12/2009 Modification

COLL 5.2.23 (2)

Sarasin Funds ICVC

190262

15/06/2006

15/06/2007 Modification

COLL 5.2.29 (R)

M & G Securities Limited

122057

07/01/2016

06/01/2018 Modification

COLL 5.6.5

Intrinsic Cirilium Investment Company Limited

195747

18/01/2007

17/01/2012 Modification

COLL 5.6.7 (3)

Intrinsic Cirilium Investment Company Limited

195747

18/01/2007

17/01/2012 Modification

COLL 5.6.7 (5)

Scottish Widows Unit Trust Managers Limited

122129

25/05/2006

31/12/2006 Modification

COLL 5.6.7 (5)

Scottish Widows Unit Trust Managers Limited

122129

29/06/2006

31/12/2006 Modification

COLL 5.6.7 (6)

CBRE Global Investment Partners Limited

159366

25/02/2010

25/08/2010 Modification

COLL 5.6.10

Alpha Real Capital LLP

436048

30/05/2014

29/05/2018 Modification

COLL 5.6.10

Gartmore Investment Limited

119236

12/05/2006

31/12/2006 Modification

COLL 5.6.10

Intrinsic Cirilium Investment Company Limited

195747

12/06/2006

31/12/2006 Modification

COLL 5.6.10

JPMorgan Funds Limited

119346

18/12/2006

31/12/2006 Modification

COLL 5.6.10

Legal & General (Unit Trust Managers) Limited

119273

15/05/2006

31/12/2006 Modification

COLL 5.6.10

Optimum Investment Management Limited

122610

12/05/2006

31/12/2006 Modification

COLL 5.6.10

Schroder Unit Trusts Limited

197288

01/11/2005

31/05/2008 Modification

COLL 5.6.10

Threadneedle Investment Services Limited

190437

19/04/2006

31/12/2006 Modification

COLL 5.6.10

Threadneedle Unit Trust Manager Limited

119219

19/04/2006

31/12/2006 Modification

COLL 5.6.10

Virgin Money Unit Trust Managers Ltd

171748

11/02/2015

10/02/2018 Waiver

COLL 5.6.10 (1)

Threadneedle Investment Services Limited

190437

25/01/2007

25/01/2008 Modification

COLL 5.6.10 (3)

Architas Multi-Manager Limited

477328

30/06/2014

30/06/2019 Modification

COLL 5.6.10 (3)

Old Mutual Investment Management Limited

208543

01/08/2007

06/11/2009 Waiver

COLL 5.6.10 (3)

RBS Collective Investment Funds Limited

122139

20/08/2013

19/08/2018 Modification

COLL 5.6.10 (3)

RBS Investment Options ICVC

476834

20/08/2013

19/08/2018 Modification

COLL 5.6.10 (3)

Standard Life Investments (Mutual Funds) Limited

146477

22/02/2013

22/02/2018 Modification

COLL 5.6.12 (1)

Courtiers Investment Services Limited

124995

21/12/2007

31/12/2008 Modification

COLL 5.6.12 (1)

Courtiers Investment Services Limited

124995

31/12/2008

31/12/2010 Modification

COLL 5.6.12(1)

Courtiers Investment Services Limited

124995

01/01/2011

01/07/2012 Modification

COLL 5.6.18

Alpha Real Capital LLP

436048

22/08/2014

22/08/2016 Modification

COLL 5.6.18 (2)

Intrinsic Cirilium Investment Company Limited

195747

18/01/2007

17/01/2012 Modification

20 of 31

New Collective Investment Schemes (Waivers) Rule Ref.

Firm Name

FSA Reg. No.

Start date

Expiry date

Waiver Type

COLL 5.6.19

Aviva Investors UK Fund Services Limited

119310

17/11/2010

05/01/2013 Modification

COLL 5.6.19 (6)

Intrinsic Cirilium Investment Company Limited

195747

18/01/2007

17/01/2012 Modification

COLL 5.6.20

Alpha Real Capital LLP

436048

22/08/2014

22/08/2016 Modification

COLL 5.6.22

BNP Paribas Securities Services

206940

06/01/2015

05/01/2020 Modification

COLL 5.6.22

BNY Mellon Trust & Depositary (UK) Limited

188432

07/01/2013

06/01/2018 Modification

COLL 5.6.22

BNY Mellon Trust & Depositary (UK) Limited

188432

07/01/2013

06/01/2018 Modification

COLL 5.6.22

BNY Mellon Trust & Depositary (UK) Limited

188432

25/07/2013

24/07/2018 Modification

COLL 5.6.22

Intrinsic Cirilium Investment Company Limited

195747

28/10/2009

08/07/2010 Modification

COLL 5.6.22

J.P. Morgan Europe Limited

124579

04/08/2014

03/08/2019 Modification

COLL 5.6.22

National Westminster Bank Plc

121878

20/03/2014

01/01/2019 Modification

COLL 5.6.22

National Westminster Bank Plc

121878

23/05/2014

01/01/2019 Waiver

COLL 5.6.22

Old Mutual Investment Management Limited

208543

16/10/2009

02/07/2010 Modification

COLL 5.6.22

State Street Trustees Limited

186237

13/10/2014

01/01/2019 Modification

COLL 5.6.22 (9)

Aberdeen Asset Fund Management Limited

122135

09/12/2009

08/12/2014 Modification

COLL 5.6.22 (9)

Aviva Investors International Property Fund (OEIC)

461725

13/03/2008

08/07/2010 Modification

COLL 5.6.22(9)

BNY Mellon Trust & Depositary (UK) Limited

188432

01/07/2010

15/03/2012 Modification

COLL 5.6.22 (9)

BNY Mellon Trust & Depositary (UK) Limited

188432

15/03/2012

15/03/2017 Modification

COLL 5.6.22(9)

Citibank International Limited

122342

30/04/2010

29/04/2015 Modification

COLL 5.6.22 (9)

HBOS Investment Fund Managers Limited

119223

24/02/2010

01/07/2010 Modification

COLL 5.6.22 (9)

HBOS Investment Fund Managers Limited

119223

15/01/2015

14/01/2020 Modification

COLL 5.6.22 (9)

J.P. Morgan Trustee and Depositary Company Limited

122358

06/08/2008

06/08/2013 Modification

COLL 5.6.22 (9)

J.P. Morgan Trustee and Depositary Company Limited

122358

09/08/2013

08/08/2018 Modification

COLL 5.6.22 (9)

Legal & General (Unit Trust Managers) Limited

119273

02/12/2009

01/07/2010 Modification

COLL 5.6.22 (9)

M & G Securities Limited

122057

01/10/2009

01/07/2010 Modification

COLL 5.6.22 (9)

National Westminster Bank Plc

121878

26/10/2011

27/03/2015 Modification

COLL 5.6.22 (9)

National Westminster Bank Plc

121878

26/10/2011

28/05/2014 Modification

COLL 5.6.22 (9)

National Westminster Bank Plc

121878

26/10/2011

16/03/2015 Modification

COLL 5.6.22 (9)

National Westminster Bank Plc

121878

26/10/2011

25/10/2016 Modification

COLL 5.6.22 (9)

National Westminster Bank Plc

121878

26/10/2011

25/10/2016 Modification

21 of 31

New Collective Investment Schemes (Waivers) Rule Ref.

Firm Name

FSA Reg. No.

Start date

Expiry date

Waiver Type

COLL 5.6.22 (9)

National Westminster Bank Plc

121878

26/10/2011

25/10/2016 Modification

COLL 5.6.22 (9)

National Westminster Bank Plc

121878

01/11/2011

31/10/2016 Modification

COLL 5.6.22 (9)

National Westminster Bank Plc

121878

01/11/2011

31/10/2016 Modification

COLL 5.6.22 (9)

National Westminster Bank Plc

121878

28/03/2012

27/03/2017 Modification

COLL 5.6.22 (9)

National Westminster Bank Plc

121878

26/06/2012

25/06/2017 Modification

COLL 5.6.22 (9)

National Westminster Bank Plc

121878

01/01/2014

01/01/2019 Modification

COLL 5.6.22 (9)

Premier Portfolio Managers Limited

122067

29/01/2010

08/07/2010 Modification

COLL 5.6.22 (9)

St. James's Place Unit Trust Group Limited

122472

15/03/2007

01/07/2010 Modification

COLL 5.6.22(9)

The Royal Bank of Scotland Plc

121882

28/05/2010

20/03/2014 Modification

COLL 5.6.22(9)

The Royal Bank of Scotland Plc

121882

01/07/2010

20/03/2014 Modification

COLL 5.6.22(9)

The Royal Bank of Scotland Plc

121882

01/07/2010

30/03/2014 Modification

COLL 5.6.22(9)

The Royal Bank of Scotland Plc

121882

01/07/2010

20/03/2014 Modification

COLL 5.6.22(9)

The Royal Bank of Scotland Plc

121882

02/07/2010

20/03/2014 Modification

COLL 5.6.22(9)

The Royal Bank of Scotland Plc

121882

02/07/2010

20/03/2014 Modification

COLL 5.6.22(9)

The Royal Bank of Scotland Plc

121882

08/07/2010

12/03/2013 Modification

COLL 5.6.22(9)

The Royal Bank of Scotland Plc

121882

08/07/2010

20/03/2014 Modification

COLL 5.6.22(9)

The Royal Bank of Scotland Plc

121882

08/07/2010

20/03/2014 Modification

COLL 5.6.22 (R)

Northern Trust Global Services Ltd

226284

25/05/2016

05/01/2020 Modification

COLL 5.6.10R

Margetts Fund Management Limited

208565

02/06/2016

30/06/2019 Modification

COLL 5.6.10R (3)

Threadneedle Investment Services Limited

190437

05/02/2016

04/02/2019 Modification

COLL 5.6.10R (3)

Threadneedle Investment Services Limited

190437

05/02/2016

04/12/2019 Modification

COLL 5.6.18R (4)

Alpha Real Capital LLP

436048

07/09/2016

06/09/2018 Modification

COLL 5.6.18R (5C)

Alpha Real Capital LLP

436048

07/09/2016

06/09/2018 Modification

COLL 5.6.20R (3A)

Alpha Real Capital LLP

436048

07/09/2016

06/09/2018 Modification

COLL 5.6.22R

Citibank Europe plc

211646

11/01/2016

10/01/2021 Modification

COLL 5.6.22R

Citibank International Limited

122342

11/01/2016

10/01/2021 Modification

COLL 5.6.22R (9)

National Westminster Bank Plc

121878

23/03/2015

23/03/2020 Modification

COLL 6.2.6

Alpha Real Capital LLP

436048

01/01/2014

31/12/2014 Modification

COLL 6.2.6

Aviva Investors UK Fund Services Limited

119310

15/10/2012

31/12/2013 Modification

22 of 31

New Collective Investment Schemes (Waivers) Rule Ref.

Firm Name

FSA Reg. No.

Start date

Expiry date

Waiver Type

COLL 6.2.6

Aviva Investors UK Fund Services Limited

119310

31/12/2013

31/12/2015 Modification

COLL 6.2.6

Citibank International Limited

122342

15/10/2012

31/12/2013 Modification

COLL 6.2.6

Citibank International Limited

122342

21/08/2013

31/12/2014 Modification

COLL 6.2.6

Citibank International Limited

122342

01/01/2015

31/12/2015 Waiver

COLL 6.2.6

Ignis Fund Managers Limited

122188

16/01/2014

31/12/2015 Modification

COLL 6.2.6

Legal & General (Unit Trust Managers) Limited

119273

25/01/2007

24/07/2007 Modification

COLL 6.2.6

M & G Securities Limited

122057

28/06/2007

27/06/2012 Modification

COLL 6.2.6

Standard Life Investments (Mutual Funds) Limited

146477

21/08/2013

31/12/2014 Modification

COLL 6.2.6

Standard Life Investments (Mutual Funds) Limited

146477

01/01/2015

31/12/2015 Waiver

COLL 6.2.6

Standard Life Investments (Mutual Funds) Limited

146477

18/05/2015

17/05/2016 Modification

COLL 6.2.8

Aberdeen Fund Managers Limited

121803

22/12/2015

21/12/2020 Modification

COLL 6.2.8

Alpha Real Capital LLP

436048

01/01/2014

01/01/2019 Modification

COLL 6.2.8

Alpha Real Capital LLP

436048

19/05/2014

18/05/2019 Modification

COLL 6.2.8

Aviva Investors UK Fund Services Limited

119310

04/06/2015

03/06/2020 Modification

COLL 6.2.8

F & C Fund Management Limited

121940

01/09/2015

31/08/2020 Modification

COLL 6.2.8

Ignis Fund Managers Limited

122188

07/03/2014

06/03/2017 Modification

COLL 6.2.8

Kames Capital plc

144267

28/02/2014

27/02/2017 Modification

COLL 6.2.8

Legal & General (Unit Trust Managers) Limited

119273

01/08/2013

31/07/2018 Modification

COLL 6.2.8

LGIM Corporate Director Limited

518241

14/12/2015

13/12/2020 Modification

COLL 6.2.8

Threadneedle Investment Services Limited

190437

11/10/2013

10/10/2018 Modification

COLL 6.2.8 (3)

M & G Securities Limited

122057

17/10/2012

16/10/2017 Modification

COLL 6.2.8 (R)

Standard Life Investments (Mutual Funds) Limited

146477

17/06/2016

16/06/2021 Modification

COLL 6.2.13

M & G Securities Limited

122057

29/06/2012

28/06/2017 Modification

COLL 6.2.13 (1)

Kames Capital plc

144267

28/02/2014

27/02/2019 Modification

COLL 6.2.13 (1)

M & G Securities Limited

122057

17/10/2012

16/10/2017 Modification

COLL 6.2.14

M & G Securities Limited

122057

29/06/2012

28/06/2017 Modification

COLL 6.2.14 (1)

Kames Capital plc

144267

28/02/2014

27/02/2019 Modification

COLL 6.2.14 (1)

M & G Securities Limited

122057

17/10/2012

16/10/2017 Modification

COLL 6.2.16

Aberdeen Fund Managers Limited

121803

22/12/2015

21/12/2020 Modification

23 of 31

New Collective Investment Schemes (Waivers) Rule Ref.

Firm Name

FSA Reg. No.

Start date

Expiry date

Waiver Type

COLL 6.2.16

Alpha Real Capital LLP

436048

01/01/2014

01/01/2019 Modification

COLL 6.2.16

F & C Fund Management Limited

121940

01/09/2015

31/08/2020 Modification

COLL 6.2.16

Host Capital Limited

429093

25/09/2012

25/09/2017 Modification

COLL 6.2.16

Ignis Fund Managers Limited

122188

07/03/2014

06/03/2017 Modification

COLL 6.2.16

Kames Capital plc

144267

28/02/2014

27/02/2017 Modification

COLL 6.2.16

Legal & General (Unit Trust Managers) Limited

119273

01/08/2013

31/07/2018 Modification

COLL 6.2.16

LGIM Corporate Director Limited

518241

14/12/2015

13/12/2020 Modification

COLL 6.2.16

Threadneedle Investment Services Limited

190437

11/10/2013

10/10/2018 Modification

COLL 6.2.16 (6)

Alpha Real Capital LLP

436048

19/05/2014

18/05/2019 Modification

COLL 6.2.16 (6)

Aviva Investors UK Fund Services Limited

119310

04/06/2015

03/06/2020 Modification

COLL 6.2.16 (6)

GAM Sterling Management Limited

119235

03/03/2006

28/09/2010 Waiver

COLL 6.2.16 (6)

GAM Sterling Management Limited

119235

23/03/2007

23/03/2012 Modification

COLL 6.2.16 (6)

GAM Sterling Management Limited

119235

17/04/2012

17/04/2017 Modification

COLL 6.2.16 (6)

M & G Securities Limited

122057

17/10/2012

16/10/2017 Modification

COLL 6.2.16 (R)

Standard Life Investments (Mutual Funds) Limited

146477

17/06/2016

16/06/2021 Modification

COLL 6.2.21

Alpha Real Capital LLP

436048

01/01/2014

01/01/2019 Modification

COLL 6.2.21

Capita Financial Managers Limited

119197

14/11/2012

31/10/2015 Modification

COLL 6.2.21

Capita Financial Managers Limited

119197

04/09/2013

03/09/2016 Modification

COLL 6.2.21

Legal & General (Unit Trust Managers) Limited

119273

23/08/2013

22/08/2016 Modification

COLL 6.2.21

Legal & General (Unit Trust Managers) Limited

119273

14/12/2015

13/12/2020 Modification

COLL 6.2.21 (1)

CBRE Global Investment Partners Limited

159366

25/02/2010

25/02/2015 Modification

COLL 6.2.21 (1)

Kames Capital plc

144267

28/02/2014

27/02/2017 Modification

COLL 6.2.21 (1)

M & G Securities Limited

122057

25/10/2005

24/10/2008 Modification

COLL 6.2.21 (1)

M & G Securities Limited

122057

17/12/2008

16/12/2013 Modification

COLL 6.2.21 (1)

Premier Portfolio Managers Limited

122067

29/01/2010

29/01/2015 Modification

COLL 6.2.21(1)

Royal London Unit Trust Managers Limited

144037

28/05/2010

27/05/2015 Modification

COLL 6.2.21 (1)

THESIS Unit Trust Management Limited

186882

01/05/2012

30/04/2017 Modification

COLL 6.2.21 (1)

Threadneedle Investment Services Limited

190437

11/10/2013

10/10/2016 Modification

COLL 6.2.21 (1)

Tutman LLP

612721

03/10/2014

30/06/2016 Modification

24 of 31

New Collective Investment Schemes (Waivers) Rule Ref.

Firm Name

FSA Reg. No.

Start date

Expiry date

Waiver Type

COLL 6.2.28

Host Capital Limited

429093

25/09/2012

25/09/2017 Modification

COLL 6.2.21R

Capita Financial Managers Limited

119197

01/11/2015

31/10/2018 Modification

COLL 6.2.21R (1)

Capita Financial Managers Limited

119197

04/09/2016

03/09/2019 Modification

COLL 6.2.21R (1)

Legal & General (Unit Trust Managers) Limited

119273

24/08/2016

23/08/2019 Modification

COLL 6.2.6A

Ignis Fund Managers Limited

122188

02/05/2014

31/12/2015 Modification

COLL 6.2.6A (R)

Standard Life Investments (Mutual Funds) Limited

146477

19/02/2016

18/02/2017 Modification

COLL 6.2.6AR

Citibank Europe plc

211646

19/02/2016

18/02/2017 Modification

COLL 6.2.6B

Standard Life Investments (Mutual Funds) Limited

146477

19/02/2016

18/02/2017 Modification

COLL 6.2.6BR

Citibank Europe plc

211646

19/02/2016

18/02/2017 Modification

COLL 6.3.9

Alpha Real Capital LLP

436048

01/01/2014

01/01/2019 Modification

COLL 6.3.9

F & C Fund Management Limited

121940

01/09/2015

31/08/2020 Modification

COLL 6.3.9

Ignis Fund Managers Limited

122188

07/03/2014

06/03/2017 Modification

COLL 6.3.9

Kames Capital plc

144267

28/02/2014

27/02/2017 Modification

COLL 6.3.9

Legal & General (Unit Trust Managers) Limited

119273

01/08/2013

31/07/2018 Modification

COLL 6.3.9

LGIM Corporate Director Limited

518241

14/12/2015

13/12/2020 Modification

COLL 6.3.9 (2)

Alpha Real Capital LLP

436048

19/05/2014

18/05/2019 Modification

COLL 6.3.9 (2)

Aviva Investors UK Fund Services Limited

119310

04/06/2015

03/06/2020 Modification

COLL 6.3.9 (2)

M & G Securities Limited

122057

17/10/2012

16/10/2017 Modification

COLL 6.3.9 (2)

Threadneedle Investment Services Limited

190437

11/10/2013

10/10/2018 Modification

COLL 6.3.11

Praemium Administration Limited

463566

31/03/2008

30/03/2013 Modification

COLL 6.3.11

Praemium Administration Limited

463566

02/06/2009

01/06/2014 Modification

COLL 6.3.11 (R)

Praemium Administration Limited

463566

28/08/2015

27/08/2020 Waiver

COLL 6.3.9R (2)

Aberdeen Fund Managers Limited

121803

22/12/2015

21/12/2020 Modification

COLL 6.3.9R (2)

Standard Life Investments (Mutual Funds) Limited

146477

17/06/2016

16/06/2021 Modification

COLL 6.4.3 (4)

Investment Fund Services Ltd

464193

28/08/2012

30/06/2014 Modification

COLL 6.7.4 (1)

AXA Investment Managers UK Ltd

119368

16/01/2012

15/01/2017 Modification

COLL 6.7.4 (1)

Threadneedle Investment Services Limited

190437

26/06/2007

26/07/2007 Modification

COLL 6.7.10

Aberdeen Asset Fund Management Limited

122135

22/04/2008

30/09/2013 Modification

COLL 6.7.10

Architas Multi-Manager Limited

477328

15/07/2009

21/07/2009 Modification

25 of 31

New Collective Investment Schemes (Waivers) Rule Ref.

Firm Name

FSA Reg. No.

Start date

Expiry date

Waiver Type

COLL 6.7.10

AXA Framlington Unit Management Limited

122180

14/05/2009

14/05/2014 Modification

COLL 6.7.10

AXA Fund Managers Limited

122374

17/04/2008

30/04/2009 Modification

COLL 6.7.10

AXA Fund Managers Limited

122374

21/08/2008

20/08/2013 Modification

COLL 6.7.10

AXA Fund Managers Limited

122374

05/12/2008

05/12/2013 Modification

COLL 6.7.10

AXA Investment Managers UK Ltd

119368

04/06/2009

05/12/2013 Modification

COLL 6.7.10

Baring Fund Managers Limited

119187

25/07/2008

30/09/2008 Modification

COLL 6.7.10

Baring Fund Managers Limited

119187

01/07/2009

01/07/2014 Modification

COLL 6.7.10

F & C Fund Management Limited

121940

14/09/2009

14/09/2014 Modification

COLL 6.7.10

FIL Investment Services (UK) Limited

121939

16/02/2009

16/02/2014 Modification

COLL 6.7.10

FIL Investment Services (UK) Limited

121939

16/02/2014

16/02/2019 Modification

COLL 6.7.10

HBOS Investment Fund Managers Limited

119223

06/01/2009

06/01/2014 Modification

COLL 6.7.10

Henderson Investment Funds Limited

121859

09/06/2008

31/10/2013 Modification

COLL 6.7.10

Ignis Fund Managers Limited

122188

13/02/2009

13/02/2014 Modification

COLL 6.7.10

Legal & General (Unit Trust Managers) Limited

119273

27/10/2008

27/10/2013 Modification

COLL 6.7.10

M & G Securities Limited

122057

09/05/2008

30/09/2013 Modification

COLL 6.7.10

Morgan Stanley Investment Management (ACD) Limited

230885

17/11/2008

17/11/2013 Modification

COLL 6.7.10

Optimum Investment Management Limited

122610

13/08/2008

30/09/2013 Modification

COLL 6.7.10

Royal London Unit Trust Managers Limited

144037

14/04/2008

30/09/2013 Modification

COLL 6.7.10

Schroder Unit Trusts Limited

197288

20/03/2008

30/09/2008 Modification

COLL 6.7.10

Schroder Unit Trusts Limited

197288

01/10/2008

30/09/2013 Modification

COLL 6.7.10

Schroder Unit Trusts Limited

197288

01/11/2008

31/10/2013 Modification

COLL 6.7.10

Scottish Widows Unit Trust Managers Limited

122129

15/04/2008

30/09/2013 Modification

COLL 6.7.10

SLTM Limited

119366

08/10/2008

08/10/2013 Modification

COLL 6.7.10

UBS Asset Management Funds Ltd

141661

21/10/2008

30/04/2010 Modification

COLL 6.7.10

UBS Asset Management Funds Ltd

141661

09/01/2009

30/04/2010 Modification

COLL 6.8.1

M & G Securities Limited

122057

29/05/2014

29/05/2019 Modification

COLL 6.8.1

National Westminster Bank Plc

121878

29/05/2014

29/05/2019 Modification

COLL 6.8.2

Aberdeen Fund Managers Limited

121803

10/07/2006

31/07/2007 Modification

COLL 6.8.2

The Marlborough Ethical Fund

439181

27/07/2006

31/01/2007 Modification

26 of 31

New Collective Investment Schemes (Waivers) Rule Ref.

Firm Name

FSA Reg. No.

Start date

Expiry date

Waiver Type

COLL 6.8.2

The Marlborough No 2 OEIC

439182

27/07/2006

31/01/2007 Modification

COLL 6.8.3

Aberdeen Asset Fund Management Limited

122135

22/04/2008

30/09/2013 Modification

COLL 6.8.3

Aberdeen Asset Management Life and Pensions Limited

187323

22/10/2012

05/10/2013 Modification

COLL 6.8.3

Aberdeen Asset Managers Limited

121891

22/10/2012

05/10/2013 Modification

COLL 6.8.3

Aberdeen Fund Managers Limited

121803

22/10/2012

05/10/2013 Modification

COLL 6.8.3

Architas Multi-Manager Limited

477328

15/07/2009

21/07/2009 Modification

COLL 6.8.3

Aviva Investors UK Fund Services Limited

119310

29/10/2012

05/10/2013 Modification

COLL 6.8.3

AXA Framlington Unit Management Limited

122180

14/05/2009

14/05/2014 Modification

COLL 6.8.3

AXA Fund Managers Limited

122374

17/04/2008

30/04/2009 Modification

COLL 6.8.3

AXA Fund Managers Limited

122374

21/08/2008

20/08/2013 Modification

COLL 6.8.3

AXA Fund Managers Limited

122374

05/12/2008

05/12/2013 Modification

COLL 6.8.3

AXA Investment Managers UK Ltd

119368

04/06/2009

05/12/2013 Modification

COLL 6.8.3

AXA Investment Managers UK Ltd

119368

22/11/2012

05/10/2013 Modification

COLL 6.8.3

Barclays Asset Management Limited

505543

27/11/2012

05/10/2013 Modification

COLL 6.8.3

Baring Fund Managers Limited

119187

25/07/2008

30/09/2008 Modification

COLL 6.8.3

Baring Fund Managers Limited

119187

01/07/2009

01/07/2014 Modification

COLL 6.8.3

BNY Mellon Fund Managers Limited

122007

15/10/2012

05/10/2013 Modification

COLL 6.8.3

Cazenove Investment Fund Management Limited

138347

12/10/2012

05/10/2013 Modification

COLL 6.8.3

F & C Fund Management Limited

121940

14/09/2009

14/09/2014 Modification

COLL 6.8.3

F & C Fund Management Limited

121940

14/01/2013

05/10/2013 Modification

COLL 6.8.3

FIL Investment Services (UK) Limited

121939

16/02/2009

16/02/2014 Modification

COLL 6.8.3

FIL Investment Services (UK) Limited

121939

22/10/2012

25/01/2013 Modification

COLL 6.8.3

FIL Investment Services (UK) Limited

121939

16/02/2014

16/02/2019 Modification

COLL 6.8.3

First State Investments (UK) Limited

143359

19/12/2012

05/10/2013 Modification

COLL 6.8.3

Franklin Templeton Fund Management Limited

122222

12/10/2012

05/12/2013 Modification

COLL 6.8.3

HBOS Investment Fund Managers Limited

119223

06/01/2009

06/01/2014 Modification

COLL 6.8.3

Henderson Investment Funds Limited

121859

09/06/2008

31/10/2013 Modification

COLL 6.8.3

Henderson Investment Funds Limited

121859

09/10/2012

05/10/2013 Modification

COLL 6.8.3

Ignis Fund Managers Limited

122188

13/02/2009

13/02/2014 Modification

27 of 31

New Collective Investment Schemes (Waivers) Rule Ref.

Firm Name

FSA Reg. No.

Start date

Expiry date

Waiver Type

COLL 6.8.3

Ignis Fund Managers Limited

122188

17/10/2012

05/10/2013 Modification

COLL 6.8.3

Investec Fund Managers Limited

145007

23/10/2012

05/10/2013 Modification

COLL 6.8.3

Investment Fund Services Ltd

464193

14/01/2013

05/10/2013 Modification

COLL 6.8.3

J O Hambro Capital Management Limited

147406

19/12/2012

05/10/2013 Modification

COLL 6.8.3

JPMorgan Funds Limited

119346

17/10/2012

05/10/2013 Modification

COLL 6.8.3

Jupiter Unit Trust Managers Limited

122488

22/10/2012

05/10/2013 Modification

COLL 6.8.3

Legal & General (Unit Trust Managers) Limited

119273

27/10/2008

27/10/2013 Modification

COLL 6.8.3

Legal & General (Unit Trust Managers) Limited

119273

30/10/2012

30/10/2013 Modification

COLL 6.8.3

Legg Mason Investment Funds Limited

172614

16/10/2012

05/10/2013 Modification

COLL 6.8.3

M & G Securities Limited

122057

09/05/2008

30/09/2013 Modification

COLL 6.8.3

M & G Securities Limited

122057

29/05/2014

29/05/2019 Modification

COLL 6.8.3

Maitland Institutional Services Ltd

469627

17/01/2013

18/10/2013 Modification

COLL 6.8.3

Marlborough Fund Managers Ltd

141660

19/12/2012

05/10/2013 Modification

COLL 6.8.3

Martin Currie Fund Management Limited

119358

31/10/2012

05/10/2013 Modification

COLL 6.8.3

McInroy & Wood Portfolios Limited

144205

27/11/2012

05/10/2013 Modification

COLL 6.8.3

Miton Trust Managers Limited

220241

19/11/2012

05/10/2013 Modification

COLL 6.8.3

Morgan Stanley Investment Management (ACD) Limited

230885

17/11/2008

17/11/2013 Modification

COLL 6.8.3

MT Fund Management Limited

175592

19/12/2012

30/06/2014 Modification

COLL 6.8.3

National Westminster Bank Plc

121878

29/05/2014

29/05/2019 Modification

COLL 6.8.3

Optimum Investment Management Limited

122610

13/08/2008

30/09/2013 Modification

COLL 6.8.3

Premier Portfolio Managers Limited

122067

30/10/2012

05/10/2013 Modification

COLL 6.8.3

Royal London Unit Trust Managers Limited

144037

14/04/2008

30/09/2013 Modification

COLL 6.8.3

Schroder Unit Trusts Limited

197288

20/03/2008

30/09/2008 Modification

COLL 6.8.3

Schroder Unit Trusts Limited

197288

01/10/2008

30/09/2013 Modification

COLL 6.8.3

Schroder Unit Trusts Limited

197288

01/11/2008

31/10/2013 Modification

COLL 6.8.3

Scottish Widows Unit Trust Managers Limited

122129

15/04/2008

30/09/2013 Modification

COLL 6.8.3

SLTM Limited

119366

08/10/2008

08/10/2013 Modification

COLL 6.8.3

Smith & Williamson Fund Administration Limited

122401

21/12/2012

05/10/2013 Modification

COLL 6.8.3

Standard Life Investments (Mutual Funds) Limited

146477

22/10/2012

05/10/2013 Modification

28 of 31

New Collective Investment Schemes (Waivers) Rule Ref.

Firm Name

FSA Reg. No.

Start date

Expiry date

Waiver Type

COLL 6.8.3

UBS Asset Management Funds Ltd

141661

21/10/2008

30/04/2010 Modification

COLL 6.8.3

UBS Asset Management Funds Ltd

141661

09/01/2009

30/04/2010 Modification

COLL 6.8.3

UBS Asset Management Funds Ltd

141661

14/11/2012

05/10/2013 Modification

COLL 6.8.3 (3)

Aberdeen Asset Fund Management Limited

122135

19/12/2012

05/10/2013 Modification

COLL 6.8.3 (3)

Aberdeen Multi-Manager Limited

455821

19/12/2012

05/10/2013 Modification

COLL 6.8.3 (3)

Allianz Global Investors (UK) Ltd

122218

21/12/2012

05/10/2013 Modification

COLL 6.8.3 (3)

Architas Multi-Manager Limited

477328

19/11/2012

05/10/2013 Modification

COLL 6.8.3 (3)

BlackRock Fund Managers Limited

119292

12/11/2012

05/10/2013 Modification

COLL 6.8.3 (3)

Capita Financial Managers Limited

119197

02/01/2013

05/10/2013 Modification

COLL 6.8.3 (3)

Fund Partners Limited

469278

06/12/2012

05/10/2013 Modification

COLL 6.8.3 (3)

Lazard Fund Managers Limited

122190

24/10/2012

05/10/2013 Modification

COLL 6.8.3 (3)

M & G Securities Limited

122057

17/12/2012

05/10/2013 Modification

COLL 6.8.3 (3)

Majedie Asset Management Limited

217329

04/01/2013

05/10/2013 Modification

COLL 6.8.3 (3)

Neptune Investment Management Limited

416015

16/11/2012

05/10/2013 Modification

COLL 6.8.3 (3)

Prudential Unit Trusts Limited

122008

17/12/2012

05/10/2013 Modification

COLL 6.8.3 (3)

Rathbone Unit Trust Management Limited

144266

14/11/2012

05/10/2013 Modification

COLL 6.8.3 (3)

RLUM Limited

144032

10/12/2012

05/10/2013 Modification

COLL 6.8.3 (3)

Schroder Unit Trusts Limited

197288

13/12/2012

05/10/2013 Modification

COLL 6.8.4

M & G Securities Limited

122057

29/05/2014

29/05/2019 Modification

COLL 6.8.4

National Westminster Bank Plc

121878

29/05/2014

29/05/2019 Modification

COLL 7.2.1 (1)

Intrinsic Cirilium Investment Company Limited

195747

16/12/2008

05/01/2009 Modification

COLL 7.2.1 (1)

SLTM Limited

119366

04/12/2008

05/01/2009 Modification

COLL 7.2.1 (3)

Intrinsic Cirilium Investment Company Limited

195747

16/12/2008

05/01/2009 Modification

COLL 7.2.1 (3)

SLTM Limited

119366

04/12/2008

05/01/2009 Modification

COLL 7.2.1 (4)

Intrinsic Cirilium Investment Company Limited

195747

16/12/2008

05/01/2009 Modification

COLL 7.2.1 (4)

Premier Portfolio Managers Limited

122067

12/01/2007

03/03/2007 Modification

COLL 7.2.1 (4)

Premier Portfolio Managers Limited

122067

12/01/2007

03/04/2007 Modification

COLL 7.2.1 (4)

SLTM Limited

119366

04/12/2008

05/01/2009 Modification

COLL 7.2.15 (2)

Pershing Securities Ltd

146576

24/06/2008

24/09/2008 Waiver

29 of 31

New Collective Investment Schemes (Waivers) Rule Ref.

Firm Name

FSA Reg. No.

Start date

Expiry date

Waiver Type

COLL 7.4.4(6)

Brown Brothers Harriman Investor Services Ltd

190266

22/07/2010

21/01/2011 Modification

COLL 7.4.4R (2C)

AXA Investment Managers UK Ltd

119368

07/12/2015

06/12/2016 Modification

COLL 7.6.2 (3)

Sovereign Unit Trust Managers Limited

121998

02/11/2005

01/10/2007 Modification

COLL 8.4.5

Schroder Unit Trusts Limited

197288

31/07/2012

31/07/2017 Modification

COLL 8.4.11 (2)

Alpha Real Capital LLP

436048

02/05/2013

01/01/2014 Modification

COLL 8.4.13 (2)

Alpha Real Capital LLP

436048

02/05/2013

01/01/2014 Modification

COLL 8.4.5R

CBRE Global Investors (UK Funds) Limited

179712

08/09/2016

07/09/2021 Modification

COLL 13.1.3

T. Bailey Fund Services Limited

190293

10/01/2012

30/06/2014 Modification

COLL 14.2.1

Baring Multi Asset Investment Funds

494309

11/11/2011

30/06/2014 Modification

COLL 14.2.1

RBS Investment Options ICVC

476834

21/03/2012

30/06/2014 Modification

COLL 14.2.1

Santander Asset Management UK Limited

122491

05/02/2014

30/06/2014 Modification

COLL 14.2.1

St. James's Place Unit Trust Group Limited

122472

12/01/2012

30/06/2014 Modification

COLL 14.2.1

T. Bailey Fund Services Limited

190293

10/01/2012

30/06/2014 Modification

COLL 14.2.1

Trapezium Capital Management Limited

537510

20/03/2012

30/06/2014 Modification

COLL 14.2.7

Baring Multi Asset Investment Funds

494309

11/11/2011

30/06/2014 Modification

COLL 14.2.7

Investment Fund Services Ltd

464193

28/08/2012

30/06/2014 Modification

COLL 14.2.7

RBS Investment Options ICVC

476834

21/03/2012

30/06/2014 Modification

COLL 14.2.7

Santander Asset Management UK Limited

122491

05/02/2014

30/06/2014 Modification

COLL 14.2.7

St. James's Place Unit Trust Group Limited

122472

12/01/2012

30/06/2014 Modification

COLL 14.2.7

T. Bailey Fund Services Limited

190293

10/01/2012

30/06/2014 Modification

COLL 14.2.7

Trapezium Capital Management Limited

537510

20/03/2012

30/06/2014 Modification

COLL 14.2.9

Baring Multi Asset Investment Funds

494309

11/11/2011

30/06/2014 Modification

COLL 14.2.9

Investment Fund Services Ltd

464193

28/08/2012

30/06/2014 Modification

COLL 14.2.9

RBS Investment Options ICVC

476834

21/03/2012

30/06/2014 Modification

COLL 14.2.9

Santander Asset Management UK Limited

122491

05/02/2014

30/06/2014 Modification

COLL 14.2.9

St. James's Place Unit Trust Group Limited

122472

12/01/2012

30/06/2014 Modification

COLL 14.2.9

T. Bailey Fund Services Limited

190293

10/01/2012

30/06/2014 Modification

COLL 14.2.9

Trapezium Capital Management Limited

537510

20/03/2012

30/06/2014 Modification

COLL 14.2.14

Baring Multi Asset Investment Funds

494309

11/11/2011

30/06/2014 Modification

30 of 31

New Collective Investment Schemes (Waivers) Rule Ref.

Firm Name

FSA Reg. No.

COLL 14.2.14

Investment Fund Services Ltd

464193

28/08/2012

30/06/2014 Modification

COLL 14.2.14

RBS Investment Options ICVC

476834

21/03/2012

30/06/2014 Modification

COLL 14.2.14

Santander Asset Management UK Limited

122491

05/02/2014

30/06/2014 Modification

COLL 14.2.14

St. James's Place Unit Trust Group Limited

122472

12/01/2012

30/06/2014 Modification

COLL 14.2.14

T. Bailey Fund Services Limited

190293

10/01/2012

30/06/2014 Modification

COLL 14.2.14

Trapezium Capital Management Limited

537510

20/03/2012

30/06/2014 Modification

COLL 14.3.11

Baring Multi Asset Investment Funds

494309

11/11/2011

30/06/2014 Modification

COLL 14.3.11

Investment Fund Services Ltd

464193

28/08/2012

30/06/2014 Modification

COLL 14.3.11

RBS Investment Options ICVC

476834

21/03/2012

30/06/2014 Modification

COLL 14.3.11

Santander Asset Management UK Limited

122491

05/02/2014

30/06/2014 Modification

COLL 14.3.11

St. James's Place Unit Trust Group Limited

122472

12/01/2012

30/06/2014 Modification

COLL 14.3.11

T. Bailey Fund Services Limited

190293

10/01/2012

30/06/2014 Modification

COLL 14.3.11

Trapezium Capital Management Limited

537510

20/03/2012

30/06/2014 Modification

COLL 17.2.3 (1)

Citibank International Limited

122342

01/08/2012

31/07/2013 Modification

COLL R.4.5 (5)

Margetts Fund Management Limited

208565

16/04/2014

30/06/2016 Modification

COLL R.4.5 (5)

Sarasin Investment Funds Limited

122244

23/04/2014

30/06/2016 Modification

COLL R.4.5 (5)

Standard Life Investments (Mutual Funds) Limited

146477

23/04/2014

30/06/2016 Modification

COLL R.4.5 (9)

Margetts Fund Management Limited

208565

16/04/2014

30/06/2016 Modification

COLL R.4.5 (9)

Sarasin Investment Funds Limited

122244

23/04/2014

30/06/2016 Modification

COLL R.4.5 (9)

Standard Life Investments (Mutual Funds) Limited

146477

23/04/2014

30/06/2016 Modification

COLL R.4.7 (1)

Margetts Fund Management Limited

208565

16/04/2014

30/06/2016 Modification

COLL r.4.7 (1)

Sarasin Investment Funds Limited

122244

23/04/2014

30/06/2016 Modification

COLL R.4.7 (1)

Standard Life Investments (Mutual Funds) Limited

146477

23/04/2014

30/06/2016 Modification

31 of 31

Start date

Expiry date

Waiver Type