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 Last update 01/04/2008 Country :

The documents have no legal effect; they do not present any interpretation of, or definitive position on, existing law or regulation in any jurisdiction. These documents are not intended to affect in any way the competences of the European Commission and the European Court of Justice. The documents should not be relied upon for any purpose other than the purpose for which they were prepared. In particular, they should not be relied upon as a substitute for, or as guidance on, any aspect of the regulatory system of any Member State or as a defence in supervisory activities or enforcement proceedings; and they cannot be used to restrict competent authorities in taking regulatory or enforcement actions. (For further context click here)
 

For further information in relation to the Commission Recommendations 2004/383/EC click here and 2004/384/EC click here)
 

  Standards
 

Standard No 1 on Financial Information 

 
 

Definition of Enforcement Summary overview (TickBox Format)

 
 Principle 1 
 Principle 2 
 

Enforcers Summary overview (TickBox Format)

 
 Principle 3 
 Principle 4 
 Principle 5 
 Principle 6 
 Principle 7 
 Principle 8 
 

Issuers and Documents Summary overview (TickBox Format)

 
 Principle 9  
 Principle 10 
 

Methods of Enforcement Summary overview (TickBox Format)

 
 Principle 11 
 Principle 12 
 Principle 13 
 Principle 14  
 Principle 15 
 

Actions Summary overview (TickBox Format)

 
 Principle 16 
 Principle 17 
 Principle 18 
 Principle 19 
 

Coordination in Enforcement Summary overview (TickBox Format)

 
 Principle 20 
 

Reporting Summary overview (TickBox Format)

 
 Principle 21 
  Guidelines
 

UCITS Transitional Guidelines Summary overview (TickBox Format)

 
 Question 1  
 Question 2 
 Question 3 
 Question 4 
 Question 5 
 Question 6 
 Question 7 
 Question 8 
 

Guidelines to simplify the notification procedure of UCITS 

 
 

Guideline 1 

 
 

Key issue 1 Summary overview (TickBox Format)

 
 Question 1.a)  
 Question 1.b) 
 

Key issue 2 Summary overview (TickBox Format)

 
 Question 2.a) 
 Question 2.b) 
 

Key issue 3 Summary overview (TickBox Format)

 
 Question 3.a) 
 Question 3.b) 
 Question 3.c) 
 Question 3.d) 
 

Guideline 2 

 
 

Key issue 1 Summary overview (TickBox Format)

 
 Question 1 
 

Key issue 2 Summary overview (TickBox Format)

 
 Question 2 
 

Key issue 3 Summary overview (TickBox Format)

 
 Question 3 
 

Guideline 3 

 
 

Key issue 1 Summary overview (TickBox Format)

 
 Question 1 
 

Key issue 2 Summary overview (TickBox Format)

 
 Question 2 
 

Key issue 3 Summary overview (TickBox Format)

 
 Question 3.a) 
 Question 3.b) 
 

Guideline 4 

 
 

Key issue 1 Summary overview (TickBox Format)

 
 Question 1 
 

Key issue 2 Summary overview (TickBox Format)

 
 Question 2.a) 
 Question 2.b) 
 Question 2.c) 
 

Key issue 3 Summary overview (TickBox Format)

 
 Question 3.a) 
 Question 3.b) 
 Question 3.c) 
 

Key issue 4 Summary overview (TickBox Format)

 
 Question 4.a) 
 Question 4.b) 
 

Guidelines 5 

 
 

Key issue 1 Summary overview (TickBox Format)

 
 None Question 1  
 

Key issue 2 Summary overview (TickBox Format)

 
 None question 2 
 

Key issue 3 Summary overview (TickBox Format)

 
 None Question 3 
 

Guidelines 6 

 
 

Key issue 1 Summary overview (TickBox Format)

 
 None Question 1.a) 
 None Question 1.b) 
 

Key issue 2 Summary overview (TickBox Format)

 
 None Question 2.a) 
 None Question 2.b) 
 

Key issue 3 Summary overview (TickBox Format)

 
 None Question 3 
 

Key issue 4 Summary overview (TickBox Format)

 
 None Question 4 
 

Guidelines 7 

 
 

Key issue 1 Summary overview (TickBox Format)

 
 None Question 1 
 

Key issue 2 Summary overview (TickBox Format)

 
 None Question 2 
 

Key issue 3 Summary overview (TickBox Format)

 
 None Question 3 
 

Guidelines 8 

 
 

Key issue 1 Summary overview (TickBox Format)

 
 None Question 1 
 

Key issue 2 Summary overview (TickBox Format)

 
 None Question 2 
 

Key issue 3 

 
 

Key issue 4 Summary overview (TickBox Format)

 
 None Question 4.a) 
 None Question 4.b) 
 

Guidelines 9 

 
 

Key issue 1 Summary overview (TickBox Format)

 
 None Question 1 
 

Guidelines 10 

 
 

Guidelines for simplifying the notification procedure of UCITS - Part 2 

 
 

Guideline 10 

 
 

Key issue 1 Summary overview (TickBox Format)

 
 None Question 1.a) 
 None Question 1.b) 
 

Key issue 2 Summary overview (TickBox Format)

 
 None Question 2.a) 
 None Question 2.b) 
 

Key issue 3 Summary overview (TickBox Format)

 
 None Question 3.a) 
 None Question 3.b) 
 None Question 3.c) 
 

Key issue 4 Summary overview (TickBox Format)

 
 None Question 4 
 

Key issue 5 Summary overview (TickBox Format)

 
 None Question 5.a) 
 None Question 5.b) 
 

Key issue 6 Summary overview (TickBox Format)

 
 None Question 6 
 

Key issue 7 Summary overview (TickBox Format)

 
 None Question 7.a) 
 None Question 7.b) 
 None Question 7.c) 
 

Guideline 11 

 
 

Key issue 1 Summary overview (TickBox Format)

 
 None Question 1.a-1) 
 None Question 1.a-2) 
 None Question 1.b) 
 None Question 1.c-1) 
 None Question 1.c-2) 
 None Question 1.c-3) 
 None Question1.c-4) 
 None Question 1.c-5) 
 None Question 1.c-6) 
 None Question 1.c-7) 
 None Question 1.c-7) 
 None Question 1.d) 
 None Question 1.e) 
 

Key issue 2 Summary overview (TickBox Format)

 
 None Question 2 
 

Key issue 3 Summary overview (TickBox Format)

 
 None Question 3 
 

Key issue 4 Summary overview (TickBox Format)

 
 None Question 4 
 

Key issue 5 Summary overview (TickBox Format)

 
 None Question 5 
 

Guideline 12 

 
 

Key issue 1 Summary overview (TickBox Format)

 
 None Question 1 
 

Key issue 2 Summary overview (TickBox Format)

 
 None Question 2-1) 
 None Question 2-2) 
 None Question 2-3) 
 None Question 2-4) 
 None Question 2-5) 
 None Question 2-6) 
 

Key issue 3 Summary overview (TickBox Format)

 
 None Question 3-1) 
 None Question 3-2) 
 

Key issue 4 Summary overview (TickBox Format)

 
 None Question 4 
 

Guideline 13 

 
 

Key issue 1 Summary overview (TickBox Format)

 
 None Question 1 
 

Key issue 2 Summary overview (TickBox Format)

 
 None Question 2 
 

Key issue 3 Summary overview (TickBox Format)

 
 None Question 3 
  Recommendations
 

COMMISSION RECOMMENDATION 2004/383/EC Summary overview (TickBox Format)

 
 Question 1. 
 Question 2.1. 
 Question 2.2. 
 Question 2.3. 
 Question 3.1. 
 Question 3.2. 
 Question 3.3. 
 Question 3.4. 
 Question 3.5. 
 Question 3.6. 
 Question 4.1. 
 Question 4.2. 
 Question 4.3. 
 Question 5.1. 
 Question 5.2. 
 Question 5.3. 
 Question 5.4. 
 Question 5.5. 
 Question 5.6. 
 Question 6.1. 
 Question 6.2. 
 Question 6.3. 
 Question 6.4. 
 Question 7.1. 
 Question 7.2. 
 Question 7.3. 
 Question 7.4. 
 Question 7.5. 
 

COMMISSION RECOMMENDATION 2004/384/EC Summary overview (TickBox Format)

 
 Question 1. 
 Question 2.1. 
 Question 2.2. 
 Question 3.1. 
 Question 3.2. 
 Question 3.3. 
 Question 3.4. 
 Question 4.1. 
 Question 4.2. 
 Question 4.3. 
 Question 4.4. 
 Question 5. 
 Question 6.1. 
 Question 6.2. 
 Question 6.3. 
 Question 6.4. 
 Question 6.5. 
 Question 6.6. 
 Question 6.7. 
 Question 6.8. 
 Question 7.1. 
 Question 7.2. 
 Question 8. 
  Question
  Key issue