DOC-2016-01 Approval Procedure for Investment Firm Custodians of UCITS - Procedure for Reviewing the Specifications of Other UCITS and AIF Custodians

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III - Service Providers
III. 2 - Other Service Providers
III. 2.2 - Custodians

Doctrine
UCITS

DOC-2016-01 Approval Procedure for Investment Firm Custodians of UCITS - Procedure for Reviewing the Specifications of Other UCITS and AIF Custodians

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Applicable as of May 4, 2021
Instruction DOC-2016-01

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Instruction DOC-2016-01 clarifies the conditions and procedures for the approval of UCITS custodians with the status of an investment firm and the content of their activity program; it also describes the content of the specifications for credit institutions and branches of credit institutions acting as UCITS custodians, as well as the conditions for transmission to the AMF and the AMF's approval process for these specifications. This document also clarifies the content and transmission conditions for the specifications of AIF custodians.

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Reference texts

Article L.214-10-1 of the Monetary and Financial Code

Articles 323-1-A to 323-41 of the General Regulation

Annex 1: Appointment of the head of the custodian function

Delegated Act published by the European Commission on December 17, 2015

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Instruction DOC-2016-01 clarifies the conditions and procedures for the approval of UCITS custodians with the status of an investment firm and the content of their activity program; it also describes the content of the specifications for credit institutions and branches of credit institutions acting as UCITS custodians, as well as the conditions for transmission to the AMF and the AMF's approval process for these specifications. This document also clarifies the content and transmission conditions for the specifications of AIF custodians.

Download the doctrine

Reference texts

Article L.214-10-1 of the Monetary and Financial Code

Articles 323-1 to 323-22 of the General Regulation

Articles 323-23 to 323-41 of the General Regulation

Delegated Act published by the European Commission on December 17, 2015

Instruction DOC-2016-01 clarifies the conditions and procedures for the approval of UCITS custodians with the status of an investment firm and the content of their activity program; it also describes the content of the specifications for credit institutions and branches of credit institutions acting as UCITS custodians, as well as the conditions for transmission to the AMF and the AMF's approval process for these specifications. This document also clarifies the content and transmission conditions for the specifications of AIF custodians.

Download the doctrine

Reference texts

Article L.214-10-1 of the Monetary and Financial Code

Articles 323-1 to 323-22 of the General Regulation

Articles 323-23 to 323-41 of the General Regulation

Delegated Act published by the European Commission on December 17, 2015

Instruction DOC-2016-01 clarifies the conditions and procedures for the approval of UCITS custodians with the status of an investment firm and the content of their activity program; it also describes the content of the specifications for credit institutions and branches of credit institutions acting as UCITS custodians, as well as the conditions for transmission to the AMF and the AMF's approval process for these specifications. This document also clarifies the content and transmission conditions for the specifications of AIF custodians.

Download the doctrine

Reference texts

Article L.214-10-1 of the Monetary and Financial Code

Articles 323-1 to 323-22 of the General Regulation

Articles 323-23 to 323-41 of the General Regulation

Delegated Act published by the European Commission on December 17, 2015

Keywords

AIFM

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Publisher: The Director of the Communication Department of the AMF. Contact: Communication Department, Autorité des marchés financiers - 17, place de la Bourse - 75082 Paris Cedex 02