Undertakings for collective investment in transferable securities – UCITS

modification date 28 September 2018

Binding acts

Directive 2009/65/EC of the European Parliament  and of the Council of 13 July 2009 on the coordination of laws, regulations and administrative provisions relating to undertakings for collective investment in transferable securities (UCITS IV)
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Commission Directive 2010/43/EU of 1 July 2010 implementing Directive 2009/65/EC of the European Parliament and of the Council as regards organisational requirements, conflicts of interest, conduct of business, risk management and content of the agreement between a depositary and a management company
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Commission Directive 2010/42/EU of 1 July 2010 implementing Directive 2009/65/EC of the European Parliament and of the Council as regards certain provisions concerning fund mergers, master-feeder structures and notification procedure
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Commission Regulation (EU) No 584/2010 of 1 July 2010 implementing Directive 2009/65/EC of the European Parliament and of the Council as regards the form and content of the standard notification letter and UCITS attestation, the use of electronic communication between competent authorities for the purpose of notification, and procedures for on-the-spot verifications and investigations and the exchange of information between competent authorities
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Commission Regulation (EU) No 583/2010 of 1 July 2010 implementing Directive 2009/65/EC of the European Parliament and of the Council as regards key investor information and conditions to be met when providing key investor information or the prospectus in a durable medium other than paper or by means of a website
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Council Directive of 20 December 1985 on the coordination of laws, regulations and administrative provisions relating to undertakings for collective investment in transferable securities (UCITS III)
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Related documents

icon_doc_pdf_small  Report and consultation paper on guidelines on ETFs and other UCITS issues  

icon_doc_pdf_small  Questions and Answers - Risk Measurement and Calculation of Global Exposure and Counterparty Risk for UCITS  

icon_doc_pdf_small  Questions and Answers - Notification of UCITS and exchange of information between competent authorities  

icon_doc_pdf_small  Guidelines on risk measurement and the calculation of global exposure for certain types of structured UCITS


CESR Guidelines:

• Risk management principles for UCITS,

• CESR's guidelines concerning eligible assets for investment by UCITS,

• CESR’s technical advice to the European Commission on level 2 measures relating to mergers of UCITS, master-feeder UCITS structures and cross-border notification of UCITS,

• Consultation on CESR’s technical advice to the European Commission on the level 2 measures related to the UCITS management company passport,

• Summary of CESR’s self assessment of the implementation of the guidelines to simplify the notification procedure of UCITS.