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DOC-2013-06 Listed Funds and Other Matters Related to UCITS
The French Autorité des Marchés Financiers (AMF) incorporates ESMA guidelines regarding listed funds and UCITS into its DOC-2013-06 position. This document mandates specific investor disclosures and establishes rules for the use of financial derivatives and efficient portfolio management techniques, including diversification ratios for financial guarantees. It further defines the criteria that financial indices must meet when used as investment benchmarks by these funds.
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II - Investment Products
II. 1 - Collective Investments
II. 1.2. Specific Provisions for UCITS
Doctrines
UCITS
Listed Funds and Other Matters Related to UCITS
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Applicable as of September 10, 2014
Position DOC-2013-06
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Summary
The AMF applies the ESMA guidelines concerning listed funds and other matters related to UCITS (ESMA/2012/832 and ESMA/2014/937). The AMF has integrated them into position DOC 2013-06, which details the information to be communicated to investors, the rules to apply when these UCITS resort to financial derivative instruments or to efficient portfolio management techniques (notably the diversification ratio for financial guarantees), as well as the criteria that financial indices in which these funds invest must meet.
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Reference texts
Article L.214-23 of the Monetary and Financial Code
Articles R.214-15 to R.214-19 of the Monetary and Financial Code
Article D.214-22-1 of the Monetary and Financial Code
Guidelines on listed funds and other matters related to UCITS (ESMA/2014/937)
Guidelines on listed funds and other matters related to UCITS (ESMA/2012/832) Archives
The AMF applies the ESMA guidelines concerning listed funds and other matters related to UCITS (ESMA/2012/832). The AMF has integrated them into a position that details the information to be communicated to investors, the rules to apply when these UCITS resort to financial derivative instruments or to efficient portfolio management techniques, as well as the criteria that financial indices in which these funds invest must meet.
Download the doctrine
Reference texts
Article L.214-23 of the Monetary and Financial Code
Articles R.214-15 to R.214-19 of the Monetary and Financial Code
Article D.214-22-1 of the Monetary and Financial Code
Guidelines on listed funds and other matters related to UCITS (ESMA/2012/832) Legal notices:
Publisher: The Director of the AMF Communication Department. Contact: Communication Department, Autorité des marchés financiers - 17, place de la Bourse - 75082 Paris Cedex 02
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