Guidelines on Liquidity Stress Testing in UCITS and AIFs

These Guidelines relate to liquidity stress testing in UCITS and AIFs. 3. In particular, in respect of managers they apply primarily in relation to Article 16(1) of the AIFMD, Articles 47 and 48 of the AIFMD Level 2 Regulation, Article 51 of the UCITS

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Public consultation on the governance of the Monitoring ...

The consultation paper rightly refers to International Financial Reporting Standards (IFRS) issued by the International Accounting Standards Board (IASB) which is overseen by the Trustees of the IFRS Foundation and a Monitoring Board composed of public authorities.

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Questions and Answers - ESMA

16 December 2016 | ESMA/2016/1669 Questions and Answers ... legislation or ESMA guidelines. 4. The European Commission has already published its own Q&A on AIFMD 6. II. Purpose ... part of a department) – can exert material influence on the AIFM’s risk profile or on an AIF it

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Guidelines - ESMA

10 October 2016 | ESMA/2016/1452 Corrected on 07/08/2017 Guidelines Transaction reporting, order record keeping and clock synchronisation under MiFID II

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Practical Guide - ESMA

Practical Guide is intended as an aide to market participants and may be particularly helpful to shareholders with notification obligations under national law in …

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Questions and Answers - ESMA

Apr 08, 2019 · 4 42. Rights issue: communication by a custodian to its clients in one member state about pre-emption rights in relation to a public offer of new shares taking place in another

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Guidelines

5 application of Article 25(2) of MiFID II and of Articles 54 and 55 of the MiFID II Delegated Regulation. 10. ESMA expects these guidelines to promote greater convergence in the interpretation of,

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Questions and Answers

Regulation (EU) No 648/2012 of the European Parliament and of the Council of 4 July 2012 on OTC ... European Commission adopted without modifications the regulatory technical standards developed by ... Directive 2004/39/EC of the European Parliament and the Council

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Final Report

providers for business Regulation. 2 Date: 10 November 2021 . 3 Date: 10 November 2021 Table of Contents ... CA National competent authority or authorities designated by a Member State ... PRIIPS Regulation (EU) No 1286/2014 of the European Parliament and of the Council of 26 November 2014 on key information documents for ...

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BRIEFING Legal Entity Identifier (LEI) - Europa

Legal Entity Identifier (LEI) The Legal Entity Identifier (LEI) is a 20-digit, alpha-numeric code that enables clear and unique identification of legal entities participating in financial transactions. 1 LEIs, like other identifiers, are needed by firms to fulfil their reporting obligations under financial regulations and directives.

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Guidelines on Liquidity Stress Testing in UCITS ... - Europa

the AIFMD, Articles 92 of the AIFMD Level 2 Regulation, Article 22(3) of the UCITS Directive and Article 3 of the UCITS Level 2 Regulation. 5. These Guidelines apply in respect of UCITS and AIFs, including: a) ETFs, whether they operate as UCITS or …

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Collective Investment Schemes - Financial Services Authority

(b) the investment and borrowing powers rules forUCITS schemesset out in COLL 5.2to COLL 5.5. (2) (a)Non-UCITS retail schemesareschemesthat do not comply with all the conditions necessary to be aUCITS scheme. (b) Anon-UCITS retail schemeis anAIFand must be managed by an AIFM. (c) TheUKmay, under the legislation which implemented article 43

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Chapter 4 Communicating with clients, including financial ...

(iii) athird party prospectus; and (c) afinancial promotionapproved by thefirm. (3) As part of complying with (1), afirmmust take into account the nature of theclient. [Note:,article 24(3) and article 30(1) ofMiFID, article 17(2) of theIDDand article 77 of theUCITS Directive] (1) Thefair, clear and not misleading ruleapplies in a way that is