{
  "url": "https://openlegislation.uk/open-ended-investment-companies-regulations-2001",
  "json_url": "https://openlegislation.uk/open-ended-investment-companies-regulations-2001.json",
  "id": "uksi/2001/1228",
  "title": "The Open-Ended Investment Companies Regulations 2001",
  "short_title": "Open-Ended Investment Companies 2001",
  "long_title": "These Regulations are made under section 262 of the Financial Services and Markets Act 2000. They make provision for facilitating the carrying on of collective investment by means of open-ended investment companies and regulate such companies.",
  "citation": "S.I. 2001/1228",
  "type": "uksi",
  "year": "2001",
  "number": "1228",
  "version": "current",
  "date": "2001-03-27",
  "revised": true,
  "valid_from": "2022-06-06",
  "extent": "E+W+S+N.I.",
  "unapplied_effects": 0,
  "provisions": [
    {
      "path": "introduction",
      "kind": "introduction",
      "number": null,
      "heading": "Introductory text",
      "url": "https://openlegislation.uk/open-ended-investment-companies-regulations-2001/introduction",
      "extent": null,
      "status": null,
      "parent": null
    },
    {
      "path": "part/I",
      "kind": "part",
      "number": "I",
      "heading": "GENERAL",
      "url": null,
      "extent": null,
      "status": null,
      "parent": null
    },
    {
      "path": "part/I/crossheading/1",
      "kind": "crossheading",
      "number": null,
      "heading": null,
      "url": null,
      "extent": null,
      "status": null,
      "parent": "part/I"
    },
    {
      "path": "regulation/1",
      "kind": "regulation",
      "number": "1",
      "heading": "Citation, commencement and extent",
      "url": "https://openlegislation.uk/open-ended-investment-companies-regulations-2001/regulation-1",
      "extent": "E+W+S+N.I.",
      "status": null,
      "parent": "part/I/crossheading/1"
    },
    {
      "path": "regulation/2",
      "kind": "regulation",
      "number": "2",
      "heading": "Interpretation",
      "url": "https://openlegislation.uk/open-ended-investment-companies-regulations-2001/regulation-2",
      "extent": "E+W+S+N.I.",
      "status": null,
      "parent": "part/I/crossheading/1"
    },
    {
      "path": "part/II",
      "kind": "part",
      "number": "II",
      "heading": "FORMATION, SUPERVISION AND CONTROL",
      "url": null,
      "extent": "E+W+S+N.I.",
      "status": null,
      "parent": null
    },
    {
      "path": "part/II/crossheading/general",
      "kind": "crossheading",
      "number": null,
      "heading": "General",
      "url": null,
      "extent": "E+W+S+N.I.",
      "status": null,
      "parent": "part/II"
    },
    {
      "path": "regulation/3",
      "kind": "regulation",
      "number": "3",
      "heading": "Open-ended investment company",
      "url": "https://openlegislation.uk/open-ended-investment-companies-regulations-2001/regulation-3",
      "extent": null,
      "status": null,
      "parent": "part/II/crossheading/general"
    },
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      "path": "regulation/4",
      "kind": "regulation",
      "number": "4",
      "heading": "Registration by the Authority",
      "url": "https://openlegislation.uk/open-ended-investment-companies-regulations-2001/regulation-4",
      "extent": null,
      "status": null,
      "parent": "part/II/crossheading/general"
    },
    {
      "path": "regulation/5",
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      "number": "5",
      "heading": "Safekeeping of scheme property by depositary",
      "url": "https://openlegislation.uk/open-ended-investment-companies-regulations-2001/regulation-5",
      "extent": null,
      "status": null,
      "parent": "part/II/crossheading/general"
    },
    {
      "path": "regulation/6",
      "kind": "regulation",
      "number": "6",
      "heading": "FCA rules",
      "url": "https://openlegislation.uk/open-ended-investment-companies-regulations-2001/regulation-6",
      "extent": null,
      "status": null,
      "parent": "part/II/crossheading/general"
    },
    {
      "path": "regulation/7",
      "kind": "regulation",
      "number": "7",
      "heading": "Modification or waiver of FCA rules",
      "url": "https://openlegislation.uk/open-ended-investment-companies-regulations-2001/regulation-7",
      "extent": "E+W+S+N.I.",
      "status": null,
      "parent": "part/II/crossheading/general"
    },
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      "path": "regulation/8",
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      "heading": "Notices: general",
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      "extent": null,
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    },
    {
      "path": "regulation/9",
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      "heading": "Publication",
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    },
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      "path": "regulation/10",
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      "number": "10",
      "heading": "The Authority’s procedures",
      "url": "https://openlegislation.uk/open-ended-investment-companies-regulations-2001/regulation-10",
      "extent": "E+W+S+N.I.",
      "status": null,
      "parent": "part/II/crossheading/general"
    },
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      "path": "regulation/11",
      "kind": "regulation",
      "number": "11",
      "heading": "The Tribunal",
      "url": "https://openlegislation.uk/open-ended-investment-companies-regulations-2001/regulation-11",
      "extent": "E+W+S+N.I.",
      "status": "repealed",
      "parent": "part/II/crossheading/general"
    },
    {
      "path": "part/II/crossheading/umbrella-companies",
      "kind": "crossheading",
      "number": null,
      "heading": "Umbrella companies",
      "url": null,
      "extent": "E+W+S+N.I.",
      "status": null,
      "parent": "part/II"
    },
    {
      "path": "regulation/11A",
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      "number": "11A",
      "heading": "Segregated liability of sub-funds",
      "url": "https://openlegislation.uk/open-ended-investment-companies-regulations-2001/regulation-11A",
      "extent": null,
      "status": null,
      "parent": "part/II/crossheading/umbrella-companies"
    },
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      "path": "regulation/11B",
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      "number": "11B",
      "heading": "Cross sub-fund investment",
      "url": "https://openlegislation.uk/open-ended-investment-companies-regulations-2001/regulation-11B",
      "extent": null,
      "status": null,
      "parent": "part/II/crossheading/umbrella-companies"
    },
    {
      "path": "part/II/crossheading/authorisation",
      "kind": "crossheading",
      "number": null,
      "heading": "Authorisation",
      "url": null,
      "extent": null,
      "status": null,
      "parent": "part/II"
    },
    {
      "path": "regulation/12",
      "kind": "regulation",
      "number": "12",
      "heading": "Applications for authorisation",
      "url": "https://openlegislation.uk/open-ended-investment-companies-regulations-2001/regulation-12",
      "extent": "E+W+S+N.I.",
      "status": null,
      "parent": "part/II/crossheading/authorisation"
    },
    {
      "path": "regulation/13",
      "kind": "regulation",
      "number": "13",
      "heading": "Particulars of directors",
      "url": "https://openlegislation.uk/open-ended-investment-companies-regulations-2001/regulation-13",
      "extent": "E+W+S+N.I.",
      "status": null,
      "parent": "part/II/crossheading/authorisation"
    },
    {
      "path": "regulation/14",
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      "number": "14",
      "heading": "Authorisation",
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      "extent": "E+W+S+N.I.",
      "status": null,
      "parent": "part/II/crossheading/authorisation"
    },
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      "path": "regulation/15",
      "kind": "regulation",
      "number": "15",
      "heading": "Requirements for authorisation",
      "url": "https://openlegislation.uk/open-ended-investment-companies-regulations-2001/regulation-15",
      "extent": "E+W+S+N.I.",
      "status": null,
      "parent": "part/II/crossheading/authorisation"
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      "path": "regulation/16",
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      "number": "16",
      "heading": "Representations against refusal of authorisation",
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      "extent": "E+W+S+N.I.",
      "status": null,
      "parent": "part/II/crossheading/authorisation"
    },
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      "path": "regulation/17",
      "kind": "regulation",
      "number": "17",
      "heading": "Certificates",
      "url": "https://openlegislation.uk/open-ended-investment-companies-regulations-2001/regulation-17",
      "extent": "E+W+S+N.I.",
      "status": null,
      "parent": "part/II/crossheading/authorisation"
    },
    {
      "path": "part/II/crossheading/names",
      "kind": "crossheading",
      "number": null,
      "heading": "Names",
      "url": null,
      "extent": null,
      "status": null,
      "parent": "part/II"
    },
    {
      "path": "regulation/18",
      "kind": "regulation",
      "number": "18",
      "heading": "Registrar’s approval of names",
      "url": "https://openlegislation.uk/open-ended-investment-companies-regulations-2001/regulation-18",
      "extent": null,
      "status": null,
      "parent": "part/II/crossheading/names"
    },
    {
      "path": "regulation/19",
      "kind": "regulation",
      "number": "19",
      "heading": "Prohibition on certain names",
      "url": "https://openlegislation.uk/open-ended-investment-companies-regulations-2001/regulation-19",
      "extent": null,
      "status": null,
      "parent": "part/II/crossheading/names"
    },
    {
      "path": "regulation/20",
      "kind": "regulation",
      "number": "20",
      "heading": "Registrar’s index of company names",
      "url": "https://openlegislation.uk/open-ended-investment-companies-regulations-2001/regulation-20",
      "extent": "E+W+S+N.I.",
      "status": null,
      "parent": "part/II/crossheading/names"
    },
    {
      "path": "part/II/crossheading/alterations",
      "kind": "crossheading",
      "number": null,
      "heading": "Alterations",
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      "status": null,
      "parent": "part/II"
    },
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      "path": "regulation/21",
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      "heading": "The Authority’s approval for certain changes in respect of a company",
      "url": "https://openlegislation.uk/open-ended-investment-companies-regulations-2001/regulation-21",
      "extent": "E+W+S+N.I.",
      "status": null,
      "parent": "part/II/crossheading/alterations"
    },
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      "path": "regulation/22",
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      "number": "22",
      "heading": "Procedure when refusing approval of proposed changes",
      "url": "https://openlegislation.uk/open-ended-investment-companies-regulations-2001/regulation-22",
      "extent": "E+W+S+N.I.",
      "status": null,
      "parent": "part/II/crossheading/alterations"
    },
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      "path": "regulation/22A",
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      "number": "22A",
      "heading": "The Authority’s approval for conversion of a feeder UCITS",
      "url": "https://openlegislation.uk/open-ended-investment-companies-regulations-2001/regulation-22A",
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      "parent": "part/II/crossheading/alterations"
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    {
      "path": "part/II/crossheading/ending-of-authorisation",
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      "heading": "Ending of authorisation",
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      "path": "regulation/23",
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      "parent": "part/II/crossheading/ending-of-authorisation"
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      "path": "regulation/24",
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      "heading": "Procedure",
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      "status": null,
      "parent": "part/II/crossheading/ending-of-authorisation"
    },
    {
      "path": "part/II/crossheading/powers-of-intervention",
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      "heading": "Powers of intervention",
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      "parent": "part/II"
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      "path": "regulation/25",
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      "number": "25",
      "heading": "Directions",
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      "extent": "E+W+S+N.I.",
      "status": null,
      "parent": "part/II/crossheading/powers-of-intervention"
    },
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      "path": "regulation/26",
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      "heading": "Applications to the court",
      "url": "https://openlegislation.uk/open-ended-investment-companies-regulations-2001/regulation-26",
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      "parent": "part/II/crossheading/powers-of-intervention"
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      "path": "regulation/27",
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      "heading": "Procedure on giving directions under regulation 25 and varying them on Authority’s own initiative",
      "url": "https://openlegislation.uk/open-ended-investment-companies-regulations-2001/regulation-27",
      "extent": "E+W+S+N.I.",
      "status": null,
      "parent": "part/II/crossheading/powers-of-intervention"
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      "path": "regulation/28",
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      "heading": "Procedure: refusal to revoke or vary direction",
      "url": "https://openlegislation.uk/open-ended-investment-companies-regulations-2001/regulation-28",
      "extent": "E+W+S+N.I.",
      "status": null,
      "parent": "part/II/crossheading/powers-of-intervention"
    },
    {
      "path": "regulation/29",
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      "heading": "Procedure: revocation of direction and grant of request for variation",
      "url": "https://openlegislation.uk/open-ended-investment-companies-regulations-2001/regulation-29",
      "extent": null,
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      "parent": "part/II/crossheading/powers-of-intervention"
    },
    {
      "path": "part/II/crossheading/information",
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      "heading": "Information",
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    },
    {
      "path": "regulation/29A",
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      "heading": "Information for home state regulator",
      "url": "https://openlegislation.uk/open-ended-investment-companies-regulations-2001/regulation-29A",
      "extent": null,
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      "path": "regulation/29B",
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      "heading": "Information for feeder UCITS",
      "url": "https://openlegislation.uk/open-ended-investment-companies-regulations-2001/regulation-29B",
      "extent": null,
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    },
    {
      "path": "part/II/crossheading/investigations",
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      "heading": "Investigations",
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    },
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      "heading": "Power to investigate",
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      "extent": null,
      "status": null,
      "parent": "part/II/crossheading/investigations"
    },
    {
      "path": "part/II/crossheading/winding-up",
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      "number": null,
      "heading": "Winding up",
      "url": null,
      "extent": "E+W+S+N.I.",
      "status": null,
      "parent": "part/II"
    },
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      "path": "regulation/31",
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      "heading": "Winding up by the court",
      "url": "https://openlegislation.uk/open-ended-investment-companies-regulations-2001/regulation-31",
      "extent": "E+W+S+N.I.",
      "status": null,
      "parent": "part/II/crossheading/winding-up"
    },
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      "path": "regulation/32",
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      "heading": "Dissolution on winding up by the court",
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      "extent": "E+W+S+N.I.",
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      "parent": "part/II/crossheading/winding-up"
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      "path": "regulation/33",
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      "number": "33",
      "heading": "Dissolution in other circumstances",
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      "extent": "E+W+S+N.I.",
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      "parent": "part/II/crossheading/winding-up"
    },
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      "path": "regulation/33A",
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      "heading": "Winding up of a master UCITS",
      "url": "https://openlegislation.uk/open-ended-investment-companies-regulations-2001/regulation-33A",
      "extent": null,
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      "parent": "part/II/crossheading/winding-up"
    },
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      "path": "regulation/33B",
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      "heading": "Merger or division of a master UCITS",
      "url": "https://openlegislation.uk/open-ended-investment-companies-regulations-2001/regulation-33B",
      "extent": null,
      "status": null,
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    },
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      "path": "regulation/33C",
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      "heading": "Winding up of sub-funds",
      "url": "https://openlegislation.uk/open-ended-investment-companies-regulations-2001/regulation-33C",
      "extent": null,
      "status": null,
      "parent": "part/II/crossheading/winding-up"
    },
    {
      "path": "part/III",
      "kind": "part",
      "number": "III",
      "heading": "CORPORATE CODE",
      "url": null,
      "extent": null,
      "status": null,
      "parent": null
    },
    {
      "path": "part/III/crossheading/organs",
      "kind": "crossheading",
      "number": null,
      "heading": "Organs",
      "url": null,
      "extent": "E+W+S+N.I.",
      "status": null,
      "parent": "part/III"
    },
    {
      "path": "regulation/34",
      "kind": "regulation",
      "number": "34",
      "heading": "Directors",
      "url": "https://openlegislation.uk/open-ended-investment-companies-regulations-2001/regulation-34",
      "extent": "E+W+S+N.I.",
      "status": null,
      "parent": "part/III/crossheading/organs"
    },
    {
      "path": "regulation/34A",
      "kind": "regulation",
      "number": "34A",
      "heading": "Removal of certain directors by ordinary resolution",
      "url": "https://openlegislation.uk/open-ended-investment-companies-regulations-2001/regulation-34A",
      "extent": "E+W+S+N.I.",
      "status": null,
      "parent": "part/III/crossheading/organs"
    },
    {
      "path": "regulation/35",
      "kind": "regulation",
      "number": "35",
      "heading": "Directors to have regard to interests of employees",
      "url": "https://openlegislation.uk/open-ended-investment-companies-regulations-2001/regulation-35",
      "extent": null,
      "status": null,
      "parent": "part/III/crossheading/organs"
    },
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      "path": "regulation/36",
      "kind": "regulation",
      "number": "36",
      "heading": "Inspection of directors’ service contracts",
      "url": "https://openlegislation.uk/open-ended-investment-companies-regulations-2001/regulation-36",
      "extent": "E+W+S+N.I.",
      "status": null,
      "parent": "part/III/crossheading/organs"
    },
    {
      "path": "regulation/37",
      "kind": "regulation",
      "number": "37",
      "heading": "General meetings",
      "url": "https://openlegislation.uk/open-ended-investment-companies-regulations-2001/regulation-37",
      "extent": "E+W+S+N.I.",
      "status": null,
      "parent": "part/III/crossheading/organs"
    },
    {
      "path": "regulation/37A",
      "kind": "regulation",
      "number": "37A",
      "heading": "Election to dispense with annual general meetings",
      "url": "https://openlegislation.uk/open-ended-investment-companies-regulations-2001/regulation-37A",
      "extent": null,
      "status": null,
      "parent": "part/III/crossheading/organs"
    },
    {
      "path": "regulation/38",
      "kind": "regulation",
      "number": "38",
      "heading": "Capacity of company",
      "url": "https://openlegislation.uk/open-ended-investment-companies-regulations-2001/regulation-38",
      "extent": null,
      "status": null,
      "parent": "part/III/crossheading/organs"
    },
    {
      "path": "regulation/39",
      "kind": "regulation",
      "number": "39",
      "heading": "Power of directors and general meeting to bind the company",
      "url": "https://openlegislation.uk/open-ended-investment-companies-regulations-2001/regulation-39",
      "extent": null,
      "status": null,
      "parent": "part/III/crossheading/organs"
    },
    {
      "path": "regulation/40",
      "kind": "regulation",
      "number": "40",
      "heading": "No duty to enquire as to capacity etc.",
      "url": "https://openlegislation.uk/open-ended-investment-companies-regulations-2001/regulation-40",
      "extent": null,
      "status": null,
      "parent": "part/III/crossheading/organs"
    },
    {
      "path": "regulation/41",
      "kind": "regulation",
      "number": "41",
      "heading": "Exclusion or deemed notice",
      "url": "https://openlegislation.uk/open-ended-investment-companies-regulations-2001/regulation-41",
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