ESMA_QA_1104
Topic
ETFs
15/03/2013
Subject Matter
ESMA’s guidelines on ETFs and other UCITS issues - UCITS ETF label
Question
In the case of umbrella UCITS, does the requirement to use the label “UCITS ETF” apply to both the umbrella level and the sub-fund level?
Level 1 Regulation
Undertakings for Collective Investment in Transferable Securities Directive (UCITS) Directive 2009/65/EC
ESMA_QA_1178
Topic
UCITS eligible assets and investment restrictions
15/03/2013
Subject Matter
KIID Transitional provisions
Question
Are structured UCITS created after the entry into force of the guidelines and which are compartments of an umbrella UCITS created before the guidelines take effect subject to the grandfathering rule set out in paragraph 64 of the guidelines.
Level 1 Regulation
Undertakings for Collective Investment in Transferable Securities Directive (UCITS) Directive 2009/65/EC
ESMA_QA_1177
Topic
Efficient portfolio management (EPM) techniques
15/03/2013
Subject Matter
KIID Transitional provisions
Question
Are EPM techniques concluded by UCITS before the date of application of the guidelines subject to transitional provisions?
Level 1 Regulation
Undertakings for Collective Investment in Transferable Securities Directive (UCITS) Directive 2009/65/EC
ESMA_QA_1176
Topic
Disclosures
15/03/2013
Subject Matter
KIID Transitional provisions
Question
With respect to the tracking error, what type of information should existing UCITS provide for accounting periods that end within 12 months of the date of application of the guidelines if the prospectus has not been amended according to the guidelines?
Level 1 Regulation
Undertakings for Collective Investment in Transferable Securities Directive (UCITS) Directive 2009/65/EC
ESMA_QA_1175
Topic
Disclosures
15/03/2013
Subject Matter
KIID Transitional provisions
Question
From when are the requirements set out in paragraphs 43, 44, 45 and 46 of the guidelines applicable for UCITS existing before the guidelines apply?
Level 1 Regulation
Undertakings for Collective Investment in Transferable Securities Directive (UCITS) Directive 2009/65/EC