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ESMA_QA_1191
Topic
Cross-border distribution of funds
01/07/2012
Subject Matter
Notification of UCITS and UCITS management companies; exchange of information between competent authorities
Question
A UCITS management company wishes to pursue cross-border activities (MiFID services, collective portfolio management of UCITS) by way of the UCITS management company passport (Articles 16 to 21 of the UCITS Directive). Does the management company have to identify a specific UCITS, in respect of which it wants to pursue said activities, in the notification letter?
Level 1 Regulation
Undertakings for Collective Investment in Transferable Securities Directive (UCITS) Directive 2009/65/EC
ESMA_QA_1190
Topic
Disclosures
01/07/2012
Subject Matter
Notification of UCITS and UCITS management companies; exchange of information between competent authorities
Question
Under Part B of the model notification letter set out in Annex I of Regulation 584/2010, the UCITS’ host Member State may require evidence of payment of notification fees. How should this evidence of payment be provided?
Level 1 Regulation
Undertakings for Collective Investment in Transferable Securities Directive (UCITS) Directive 2009/65/EC
ESMA_QA_1189
Topic
Disclosures
01/07/2012
Subject Matter
Notification of UCITS and UCITS management companies; exchange of information between competent authorities
Question
In the context of establishment of a branch by a UCITS management company in a different Member State, in which language should competent authorities of home Member States send the relevant information 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_1188
Topic
Disclosures
01/07/2012
Subject Matter
Notification of UCITS and UCITS management companies; exchange of information between competent authorities
Question
If the UCITS is a self-managed investment company, what information should be provided under the heading ‘details of contact person at the management company’ in Part A of the notification letter?
Level 1 Regulation
Undertakings for Collective Investment in Transferable Securities Directive (UCITS) Directive 2009/65/EC
ESMA_QA_1187
Topic
Disclosures
01/07/2012
Subject Matter
Notification of UCITS and UCITS management companies; exchange of information between competent authorities
Question
When complying with the obligation of access to documents as required by Article 31(1) of Directive 2010/42/EU, can UCITS use password-protected documents?
Level 1 Regulation
Undertakings for Collective Investment in Transferable Securities Directive (UCITS) Directive 2009/65/EC