Regulatory Structure Flashcards
At an EU level, what are the relevant regulations and directives for USITS?
At EU there are UCITS directives, UCITS V Level 2 Regulation, UCITS KIID Regulation
At a UK level, what are the relevant regulations and rules for USITS?
UCITS Regulations and FSMA Statutory Instruments (S.I’s)
For UCITS, what is the relevant section in the FSMA rules?
COLL (Collective Investment Schemes)
At an EU level, what are the relevant regulations and rules for AIF’s?
AIFMD (Directive), AIFMD Level 2 Regulation, MiFID (Markets in Financial Instruments Directive)
At a UK level, what are the relevant regulations and rules for AIF’s?
AIFM Regulations and FSMA S.I’s, RAO (Regulated Activities Order), FSMA SI’s
For AIF’s, what is the relevant section in the FSMA rules?
FUND (Investment Funds sourcebook) and COBS (Conduct of Business Sourcebook)