Regulatory Structure Flashcards

1
Q

At an EU level, what are the relevant regulations and directives for USITS?

A

At EU there are UCITS directives, UCITS V Level 2 Regulation, UCITS KIID Regulation

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2
Q

At a UK level, what are the relevant regulations and rules for USITS?

A

UCITS Regulations and FSMA Statutory Instruments (S.I’s)

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3
Q

For UCITS, what is the relevant section in the FSMA rules?

A

COLL (Collective Investment Schemes)

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4
Q

At an EU level, what are the relevant regulations and rules for AIF’s?

A

AIFMD (Directive), AIFMD Level 2 Regulation, MiFID (Markets in Financial Instruments Directive)

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5
Q

At a UK level, what are the relevant regulations and rules for AIF’s?

A

AIFM Regulations and FSMA S.I’s, RAO (Regulated Activities Order), FSMA SI’s

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6
Q

For AIF’s, what is the relevant section in the FSMA rules?

A

FUND (Investment Funds sourcebook) and COBS (Conduct of Business Sourcebook)

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7
Q
A
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