Displaying 351 - 355 of 1581
ESMA_QA_1130
Topic
Information to clients on topics other than costs and charges
14/06/2023
Subject Matter
MiFID practices for firms selling financial instruments subject to the BRRD resolution regime
Question
What information must firms collect from clients in order to comply with Article 44a(1) and 44a(2) of BRRD 2?
Level 1 Regulation
Markets in Financial Instruments Directive II (MiFID II) Directive 2014/65/EU- Investor Protection and Intermediaries
ESMA_QA_1097
Topic
AIFMD scope
13/06/2023
Subject Matter
Scope of activities that a management company may carry out in a host Member State
Question
When a management company intends to pursue the activities for which it has been authorised in a host Member State, either directly or through a branch, may that management company passport in that host Member State only the administration or marketing functions referred to in Annex II of the UCITS Directive, without also passporting investment management functions?
Level 1 Regulation
Undertakings for Collective Investment in Transferable Securities Directive (UCITS) Directive 2009/65/EC
ESMA_QA_1076
Topic
Cross-border distribution of funds
12/06/2023
Subject Matter
De-notification of marketing arrangements for UCITS
Question
In case there are no investors in a host Member State, do UCITS wishing to de-notify the arrangements previously made for marketing their units have to comply with the obligations set out in Article 93a(1) of the UCITS Directive?
Level 1 Regulation
Undertakings for Collective Investment in Transferable Securities Directive (UCITS) Directive 2009/65/EC
ESMA_QA_1075
Topic
AIFMD scope
12/06/2023
Subject Matter
Management of pension schemes by UCITS management companies
Question
Pursuant to Article 6(2) of the UCITS Directive, are UCITS management companies allowed to manage pension schemes under Directive (EU) 2016/2341?
Level 1 Regulation
Undertakings for Collective Investment in Transferable Securities Directive (UCITS) Directive 2009/65/EC
ESMA_QA_1074
Topic
AIFMD scope
12/06/2023
Subject Matter
Management of AIFs by UCITS management companies
Question
Pursuant to Article 6(2) of the UCITS Directive, are UCITS management companies allowed to manage AIFs as a registered AIFM under Article 3 of Directive 2011/61/EU (AIFMD)?
Level 1 Regulation
Undertakings for Collective Investment in Transferable Securities Directive (UCITS) Directive 2009/65/EC