ESMA_QA_1185
Topic
Disclosures
01/07/2012
Subject Matter
Notification of UCITS and UCITS management companies; exchange of information between competent authorities
Question
Should all the documents referred in to Article 93(2) of Directive 2009/65/EC be transmitted when UCITS send updates of documents to the competent authorities of the host Member States pursuant to Article 32(2) of Directive 2010/42/EU?
Level 1 Regulation
Undertakings for Collective Investment in Transferable Securities Directive (UCITS) Directive 2009/65/EC
ESMA_QA_1184
Topic
Disclosures
01/07/2012
Subject Matter
Notification of UCITS and UCITS management companies; exchange of information between competent authorities
Question
Should a UCITS follow a new notification procedure via its competent authority when it notifies updates of documents referred to in Article 93(2) to competent authorities of host Member States?
Level 1 Regulation
Undertakings for Collective Investment in Transferable Securities Directive (UCITS) Directive 2009/65/EC
ESMA_QA_1183
Topic
Disclosures
01/07/2012
Subject Matter
Notification of UCITS and UCITS management companies; exchange of information between competent authorities
Question
Should notification by the UCITS to the competent authorities of the host Member States of a change in the name of the UCITS or in one of its investment compartments be accompanied by an attestation letter?
Level 1 Regulation
Undertakings for Collective Investment in Transferable Securities Directive (UCITS) Directive 2009/65/EC
ESMA_QA_1182
Topic
Disclosures
01/07/2012
Subject Matter
Notification of UCITS and UCITS management companies; exchange of information between competent authorities
Question
Should notifications to the competent authorities of the host Member States of amendments to the documents referred to in Article 93(2) of Directive 2009/65/EC (i.e. fund rules or instruments of incorporation, prospectus, latest annual report and half-yearly report by the UCITS) be accompanied by an attestation letter?
Level 1 Regulation
Undertakings for Collective Investment in Transferable Securities Directive (UCITS) Directive 2009/65/EC
ESMA_QA_1181
Topic
Disclosures
01/07/2012
Subject Matter
Notification of UCITS and UCITS management companies; exchange of information between competent authorities
Question
If the UCITS attestation transmitted to the competent authority of the home Member State lists all the existing investment compartments of a UCITS, should the UCITS undertake a notification procedure for all the investment compartments it intends to market in a Member State?
Level 1 Regulation
Undertakings for Collective Investment in Transferable Securities Directive (UCITS) Directive 2009/65/EC