№ lp_1_2_35027
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Industry consultation response addressing proposed regulatory technical standards and guidelines on liquidity management tools under the revised AIFMD and UCITS frameworks, outlining concerns on flexibility, proportionality, and investor interest considerations.
Year: 2024
Region: European Union
Subject: Liquidity management tools, investment funds regulation
Document type: Consultation response
Regulatory framework: AIFMD, UCITS
Issuing authority addressed: European Securities and Markets Authority
Author: AMIC
Related legislation entry into force date: 16 April 2024
Stakeholders referenced: fund managers, investors, national competent authorities
Source type: Industry position paper
Price: 8 / 10 USD
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UCITS Application Form Section 10: New Sub-Funds Supplement, March 2023
Document type: Application form
Regulatory framework: UCITS Regulations
Jurisdiction: Ireland
Regulatory authority: Central Bank of Ireland
Subject matter: Approval of new sub-fund(s)
Applicable legislation: European Communities (Undertakings for Collective Investment in Transferable Securities) Regulations 2011
Scheme type: Undertakings for Collective Investment in Transferable Securities
Intended users: UCITS applicants and authorised representatives
Date: March 2023
Approval process stage: Application and regulatory review
Source type: Regulatory application and procedural document
Notification letter to be submitted by a UCITS to the competent authority of its home Member State to de-notify the arrangements made for marketing as regards units in a host Member State under Article 93a(2) Directive 2009/65/EC
Year: 2023
Region / city: Not specified
Topic: UCITS de-notification of marketing arrangements
Document type: Notification letter
Institution: Not specified
Author: Not specified
Target audience: Financial regulators, UCITS management companies, and relevant authorities
Period of validity: Not specified
Approval date: Not specified
Date of amendments: Not specified
Fund naming confirmation letter for submission of updated fund prospectus under ESMA Guidelines
Year: Insert text
Fund Manager: Insert text
CSSF ID: Insert text
Fund Name: Insert text
Fund Form: Insert text
Fund Type: Insert text
Date of last prospectus version: Insert text
Signatory Name and Position: Insert text
Date of signature: Select date
Sub-funds covered: Insert text
Appendices: Appendix 1, Appendix 2
Regulatory framework: ESMA Guidelines on funds’ names, SFDR, SFDR RTS
ESMA Consultation on MIFID II Investor Protection
Year: 2014
Region / city: European Union
Theme: Financial Regulation
Document Type: Consultation Paper
Author: European Securities and Markets Authority (ESMA)
Target Audience: Financial institutions, regulatory bodies, investors
Period of Validity: Not specified
Approval Date: Not specified
Date of Changes: Not specified
Submission to ESMA Public Consultation - Draft Technical Standards for the Regulation on OTC Derivatives, CCPs and Trade Repositories
Year: 2012
Region / city: EU
Theme: Regulation, OTC Derivatives, CCPs
Document Type: Consultation Response
Organization / Institution: ESMA
Author: Triple Point Technology Inc.
Target Audience: ESMA, market participants, regulatory bodies
Period of Validity: N/A
Approval Date: N/A
Date of Changes: N/A
The ABI’s Response to the European Securities and Markets Authority’s (ESMA) Discussion Paper 2013/925The Clearing Obligation under EMIR
Year: 2013
Region / City: United Kingdom
Topic: Insurance, Clearing Obligation, Derivatives
Document Type: Response Paper
Author: ABI (Association of British Insurers)
Target Audience: Regulatory bodies, financial market participants
Period of Effect: Indefinite
Approval Date: September 2013
Date of Changes: None
Reply Form for the ESMA Consultation Paper on MiFID II / MiFIR (Reference ESMA/2014/1570)
Year: 2014–2015
Region / Country: European Union
Country of Respondent: Germany
Document Type: Consultation response form
Institution: European Securities and Markets Authority (ESMA)
Respondent Organization: Boerse Stuttgart Holding GmbH
Activity: Regulated markets / Exchanges / Trading systems
Subject: Financial markets regulation; MiFID II and MiFIR implementation
Consultation Reference: ESMA/2014/1570
Submission Method: Online submission via ESMA website
Response Deadline: 2 March 2015
Confidentiality Option: Public disclosure unless non-disclosure requested
Sections Included: Instructions for respondents; respondent information; consultation questions on investor protection and authorization procedures
Relevant Regulatory Framework: MiFID II and MiFIR
Notification of the intention to market units or shares of an AIF or AIFs managed by the same AIFM in a member state other than the home member state of the AIFM in accordance with Article 32(2) of Directive 2011/61/EU (AIFMD)
Year: 2021
Region / City: European Union
Topic: Cross-border marketing of EU AIFs
Document type: Notification letter
Author: European Commission
Target audience: AIFMs, regulatory bodies, financial institutions
Period of validity: Not specified
Approval date: Not specified
Amendment date: Not specified
NOTIFICATION LETTER ARTICLE 32 OF THE AIFMD AND ARTICLE 31 OF THE ELTIF REGULATION
Year: 2026
Region / City: European Union
Theme: Alternative Investment Fund Management, EU Regulations
Document Type: Notification Letter
Organ / Institution: EU Regulatory Authorities
Author: N/A
Target Audience: AIFMs, Regulatory Authorities, Legal Advisors
Period of validity: N/A
Approval Date: N/A
Date of Amendments: N/A
Notification letter for the marketing of units or shares of EU AIFs/ELTIFs in Member States and/or home Member State of the AIFM (Article 31(2)/32(2) of Directive 2011/61/EU (AIFMD) and Article 31 of Regulation (EU) 2015/760 on ELTIFs)
Note: Year
PART 1: Information on the AIFM or internally managed AIF
PART 2: Information on the AIFs to be marketed in the host Member State
Alternative Investment Funds Notification of marketing of AIFs managed by non-EEA AIFMs to professional investors in Belgium Art. 42 AIFMD
Year: 2017
Region / City: Belgium
Subject: Marketing of AIFs
Document Type: Official Communication
Issuing Body: FSMA
Target Audience: Professional investors, AIFMs
Period of Validity: Not specified
Approval Date: 24/02/2017
Amendment Date: Not specified
Context: A communication outlining the procedure for notifying the FSMA about marketing non-EEA AIFs in Belgium.
Any additional information referred to in Article 23(1) for each AIF the AIFM intends to market (Paragraph (f) of annex IV of AIFMD)
Note: Year
Reply form for the Call for evidence AIFMD passport and third country AIFMs, 7 November 2014
Date: 7 November 2014
Organisation: Lyxor Asset Management
Country: France
Document type: Consultation response form
Related regulation: AIFMD, ESMA MiFID II/MiFIR Discussion Paper
Number of funds marketed: 220+ AIFs in EU Member States
Number of foreign-managed funds: ~10 Luxembourg funds
Submission deadline: 8 January 2015
Publication: Responses published unless confidentiality requested
Target audience: Stakeholders and industry participants
Data protection reference: www.esma.europa.eu under Disclaimer
Context: Formal response to a European regulatory consultation detailing the use and experiences of the AIFMD passport by Lyxor Asset Management, including procedural observations, costs, and cross-border fund marketing activity.
Topics: UCITS ESMA AIFMD