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AML/CFT and CPF
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-- 5th Anti-Money Laundering Directive (AMLD5)
---- Chapter I: General Provisions
---- Chapter II: Customer Due Diligence
---- Chapter III: Beneficial Ownership Information
---- Chapter IV: Reporting Obligations
---- Chapter V: Data Protection, Record-Retention and Statistical Data
---- Chapter VI: Policies, Procedures and Supervision
---- Chapter VII: Final Provisions
---- Annex: I
---- Annex: II
---- Annex: III
---- Annex IV: Correlation table
-- 6th Anti-Money Laundering Directive (AMLD6)
---- Chapter I: General Provisions
---- Chapter II: Registers
---- Chapter III: Financial Intelligence Units (FIUs)
---- Chapter IV: Anti-Money Laundering Supervision
---- Chapter V: Cooperation
---- Chapter VI: Data Protection
---- Chapter VII: Final Provisions
-- Anti-Money Laundering Regulation (AMLR)
---- Chapter I: General Provisions
---- Chapter II: Internal Policies, Procedures, and Controls
---- Chapter III: Customer Due Diligence
---- Chapter IV: Beneficial Ownership Transparency
---- Chapter V: Reporting Obligations
---- Chapter VI: Data Protection and Record-Retention
---- Chapter VII: Mitigating Risks from Anonymous Instruments
---- Chapter VIII: Final Provisions
---- Annex I
---- Annex II
---- Annex III
---- Annex IIIa
---- Annex IVa
-- Anti-Money Laundering Authority Regulation (AMLAR)
---- Chapter I: Establishment, Legal Status and Definitions
---- Chapter II: Tasks and Powers of the Authority
---- Chapter III: Organisation of the Authority
---- Chapter IV: Financial Provisions
---- Chapter V: Staff and Cooperation
---- Chapter VI: General and Final Provisions
---- Annex I
---- Annex II
-- Organisation of the Fight against ML/TF and PF
---- General Principles
---- Obligation to designate an AML/CFT Compliance Officer at Senior Management Level
---- Obligations regarding Drawing-up of a Summary Report on AML/CFT
------ Summary Report RC (SRRC)
---- Internal Audit Control
---- Relationship with Marketing Intermediaries and the Function of Registrar Agent
-- Asset Recovery and Confiscation
---- Tracing and Identification of the Illegally Acquired Assets
---- Freezing of the Assets with a view to their possible subsequent Confiscation
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-- Collaboration and Information Sharing
---- Luxembourg
------ Ministries
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------ Criminal Justice and Operational Agencies
-------- Cellule de Renseignement Financier (CRF-FIU)
---------- goAML (Anti-Money-Laundering System)
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---------- National Request for Information (NRI)
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-------- Commissariat aux Assurances (CAA)
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-------- SRBs
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-------- Asset Recovery Office (ARO)
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-------- Customs and Excise Administration (ADA)
-------- Luxembourg Inland Revenue (ACD)
-- Counter Proliferation Financing (CPF)
-- Customer Due Diligence (CDD)
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-- Internal Controls and Audits
-- Money Laundering Risks arising from Environmental Crime
---- Illegal Extraction and Trade of Forestry
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---- Illegal Land Clearance
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-- Restrictive Measures (Targeted Financial Sanctions (TFS) and Embargoes)
---- Asset Screening
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------ News Media (to check for negative coverage on a person)
------ Politically Exposed Persons (PEPs)
------ Sanctions Lists
-------- Australia's Department of Foreign Affairs and Trade (DFAT) Consolidated List
-------- Canadian Sanctions Lists
-------- European Union (EU) Sanctions List
-------- Japan's Ministry of Finance Sanctions Lists
-------- Swiss State Secretariat for Economic Affairs (SECO) Sanctions List
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-------- United States Department of the Treasury Office of Foreign Assets Control (OFAC)
---------- Primary Sanctions
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-------- Other National Sanctions Lists
---------- Luxembourg Sanctions Lists
---- EU Global Human Rights Sanctions Regime (EUGHRSR)
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-- Transparency Register
---- France | Registre des Bénéficiaires
---- Germany | Transparency Register
---- Ireland | Central Register of Beneficial Ownership of Companies and Industrial and Provident Societies (RBO)
---- Luxembourg | Registre des Bénéficiaires Effectifs (RBE)
-- Virtual Assets (VA) and Virtual Asset Service Providers (VASP)
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---- CSSF Circular 17/671
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---- Use of Third-party Experts or Technical Means
---- Obligations regarding the Drawing-up of Reports
------ Compliance Monitoring Plan
-- Anti-Bribery and Corruption (ABC)
-- Conflicts of Interest Management
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-- Independence of the ManCo’s/AIFM's Bodies from the Depositary
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---- Required Number
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------ Suitability Assessment
---- Conditions for performing Multiple Mandates
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-- Executive Management | Senior Management
---- Required Number, Presence at the Registered Office and Contractual Relationship
---- Requirements regarding the Skills, Experience and the Good Repute
---- Organisation of the Senior Management
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-- Supervisory and Control Bodies (from a director's perspective)
-- Rules of Conduct
-- Management Information and Internal Reporting System
-- Approval of New Business Relationships and New Products
---- New Business Relationships
-- Manual of Procedures
-- Whistleblowing
-- Related Parties Transactions
-- Market Abuse Regulation (MAR)
---- Managers’ Transactions
---- Delay of Disclosure of Inside Information
---- Insider Lists
---- Suspicious Transaction and Order Reports (STORs)
---- Buyback Programmes and Stabilisation Transactions
Data Protection
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-- American Privacy Rights Act (APRA)
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---- Data Breach Management and Notification
---- Data Processing Agreements
---- Data Protection Impact Assessments (DPIA)
---- Data Protection Officer (DPO)
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------ Right to Restrict Processing
------ Rights Related to Automated Decision-Making and Profiling
---- Record of Processing Activities (ROPA)
-- UK General Data Protection Regulation (UK GDPR)
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-- Delegation Framework
---- Obligation to Notify the National Competent Authority
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---- Initial Due Diligence and Ongoing Monitoring of Delegates
------ General Principles
------ Establishment of a Delegation Framework Procedure
------ Details on the Initial Due Diligence
------ Details on the Ongoing Monitoring
-- Business Continuity Planning (vis-à-vis the respective Vendor)
-- Communication and Relationship Management
-- Compliance and Regulatory Oversight
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-- Data Security and Confidentiality
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-- Reporting and Documentation
-- Service Level Management
-- Vendor Selection and Due Diligence
-- Specificities related to the Delegation of the Portfolio Management
---- Specific Conditions
---- Due Diligence and Ongoing Monitoring
-- Specificities related to the Delegation of the UCI Administration
---- Specific Conditions
---- Due diligence and Ongoing Monitoring
-- Specificities related to the Delegation of the UCI Administration
---- Specific Conditions
---- Due Diligence and Ongoing Monitoring
-- Specificities related to the Delegation of the Valuation Function (AIFMD)
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-- Appointment of a Credit Institution as UCITS Depositary: Eligibility and Approval Criteria
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------ Requirement of Professional Experience and Good Repute
------ Description of Human and Technical Resources
------ Specific Provisions applicable to Delegation and Outsourcing
---- Contract for the Appointment of a Depositary
-- Details on Governance and Organisation
---- Conflicts of Interest
---- Internal Procedures and Written Procedures or Contracts with External Persons
------ Internal Procedures
------ Written Procedures or Contracts with External Persons
---- Organisational Arrangements to be established with Respect to the Assets of a UCITS
------ Details on the General Aspects of the Organisational Arrangements
------ Safekeeping of Assets
-------- Duty of Custody of the Financial Instruments to be held
-------- Requirement of Record-Keeping and Ownership Verification for the Other Assets
-------- Duties of Cash Flow Monitoring
------ Organisational Arrangements Assets safekept by a Delegate at the Primary Level below the Depositary
------ Organisational Arrangements Entities Downstream of Delegates in the Custody Chain
------ Organisational Arrangements Assets of the UCITS which are not held in Custody
------ Due Diligence Duties regarding an Investment in a Target UCI(TS)
------ Booking and Proper Monitoring of Financial Flows
---- Right of Access to Information
---- Escalation Procedure between the Depositary and the UCITS and/or its ManCo
---- Specific Organisational Arrangements Investment Policy of the UCITS or the Techniques used by the UCITS
------ Specific Organisational Arrangements regarding Guarantees and Securities, including Recourse to a Collateral Agent
------ Organisational Arrangements Investment of a UCITS in Financial Derivative Instruments
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---- Organisational Arrangements as regards Reconciliation
---- Duty to Establish a Contingency Plan
-- Specific Duties of the Depositary
---- Duties regarding the Day-to-Day Asset Administration
---- Oversight and Control Functions
-- Information Duties of the Depositary applicable to the UCITS
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-- Information Duties of the Depositary vis-à-vis Authorities
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---- Risk Assessment and Due Diligences on IFMs
------ Compliance of the Valuation Process, Policies and Procedures
------ Compliance of the Appointment of External Valuers by AIFMs
---- Periodical Controls regarding Valuation Methodologies
---- Duties of IFMs regarding Valuation
------ IFMs must ensure that Depositaries have Access to the necessary Information
------ IFMs must ensure that Asset Valuation is addressed as Part of their Review of Depositaries’ Performance
Distribution and Marketing
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---- Marketing Communications
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-- Markets in Financial Instruments Directive II (MiFID II)
---- European MiFID Template (EMT)
---- European Feedback Template (EFT)
---- Marketing Communications including Advertisements
-- Financial Instruments Regulation (MiFIR)
-- Packaged Retail and Insurance-based Investment Products (PRIIPs)
---- European PRIIPs Template (EPT)
-- Solvency II and Institutions for Occupational Retirement Provision II (IORP II)
---- Tripartite Template (TPT)
-- UK Overseas Funds Regime (OFR)
-- Organisation of the Marketing Function
-- Brand Management
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---- EU/EEA Member States
------ Austria
------ Belgium
------ Bulgaria
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------ Czech Republic
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------ Ireland
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-------- USA
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-------- Korea
-------- Japan
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------ Europe
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-------- Isle of Man
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-------- Switzerland
-------- United Kingdom (UK)
------ Middle East
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------ Oceania
-------- Australia
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External Audit
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-- Collection of Legal Texts
-- Training Courses and Certifications
-- Circular CSSF 21/788
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-- Circular CSSF 21/790
Finance and Treasury
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-- Collection of Legal Texts
-- Training Courses and Certifications
-- Annual Accounts and Financial Statements (ManCo/AIFM)
---- International Financial Reporting Standards (IFRS)
---- Luxembourg Generally Accepted Accounting Principles (Lux GAAP)
-- Cash Management
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---- Required Own Funds
---- Eligible Capital
---- Use of Own Funds
Human Resources
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-- Collection of Legal Texts
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-- Performance Management
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-- Remote Work Policy
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-- Termination and Exit Procedures
-- Training and Development
-- Travel Risk Management
Internal Audit
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-- Collection of Legal Texts
-- Training Courses and Certifications
-- Permanent Internal Audit Function
---- General Principles
---- Operational Arrangements and Internal Audit Charter
---- Specific Responsibilities and Scope of the Internal Audit Function
---- Person responsible for the Permanent Internal Audit Function
---- Use of Third-party Experts or Technical Means
---- Performance of the Internal Audit Function according to an Internal Audit Plan
---- Obligations regarding the Drawing-up of Reports
-- Purpose of Internal Auditing
-- Ethics and Professionalism
---- Demonstrate Integrity
---- Maintain Objectivity
---- Demonstrate Competency
---- Exercise Due Professional Care
-- Governing the Internal Audit Function
---- Authorized by the Board
---- Positioned Independently
---- Overseen by the Board
-- Managing the Internal Audit Function
---- Plan Strategically
---- Manage Resources
---- Communicate Effectively
---- Enhance Quality
-- Performing Internal Audit Services
---- Plan Engagements Effectively
---- Conduct Engagement Work
---- Communicate Engagement Results and Monitor Action Plans
Investor Protection
-- Premium Content
-- Collection of Legal Texts
-- Training Courses and Certifications
-- Circular CSSF 02/77
---- I. The Treatment of NAV Calculation Errors
------ 1. Definition of a Calculation Error
------ 2. The Materiality Concept in the Context of the NAV Calculation Error
------ 3. Procedures to be followed for the Correction of Calculation Errors which have a Material Impact on the NAV
-------- (a) The Information to be furnished to the Promoter and the Custodian of the UCI and to the CSSF
-------- (b) The Determination of the Financial Impact of significant Calculation Errors
-------- (c) The Correction of the Consequences for the UCI and/or its Investors of Calculation Errors
-------- (d) The Implication of the External Auditor in the Monitoring of the Correction Process
-------- (e) The Communications to be made to those Investors which have to be indemnified
------ 4. Responsibility for the Costs resulting from the Correction Operations of a Calculation Error
---- II. The Compensation of the Consequences resulting from Non-Compliance with the Investment Rules applicable to UCIs
-- Circular CSSF 24/856
-- European Accessibility Act
-- Investment Rules
---- Breaches
------ Active Breaches
------ Passive Breaches
---- Cluster Munition Ban
---- UCITS Eligible Assets Directive
-- Investor Education
-- Retail Investment Strategy (RIS)
---- Value for Money (VfM)
------ Supervision of Costs and Fees of UCITS
-------- Structured Pricing Process
---------- Define and Implement a Structured and Formalised Pricing Process
---------- Independent Analysis of the Fee Structures
---------- Periodically Review of the Level of Cost
---------- Sustainability of the Costs
-------- Undue Costs
---------- Costs should be consistent with the Investment Objective of the Fund and do not prevent to achieve this Objective
---------- Costs should be linked to a Service provided in the Investor’s Best Interest
---------- Costs should be proportionate compared to Market Standards and to the Type of Service provided
---------- Costs should be consistent with the Characteristics of the Fund
---------- Costs should be sustainable considering the Expected Net Return, the Risk Profile and Investment Strategy
---------- Costs should ensure Investors’ Equal Treatment
---------- Costs should not be of material Prejudice to the Interests of any Class of (potential) Unitholders
---------- Costs should not be duplicated
---------- Costs should be properly separated and accounted for
---------- Costs should be clearly disclosed to Investors
-------- Related Party Transactions and Conflicts of Interest
-------- Accuracy of Cost Calculation
-------- Costs charged to Low AuM Funds
-- UK Consumer Duty
---- Consumer Understanding
---- Price and Value
---- Product and Services
---- Consumer Support
IT
-- Premium Content
-- Collection of Legal Texts
-- Training Courses and Certifications
-- Digital Operational Resilience Act (DORA)
---- ICT Risk Management
---- ICT Third-Party Risks
---- ICT Incident Reporting
---- Information Sharing
---- Digital Operational Resilience Testing
---- 'Dry Run' to prepare for DORA
-- Artificial Intelligence and Machine Learning (AI/ML)
-- Business Continuity Planning (BCP)
-- Cloud Computing
-- Cybersecurity
-- Data Management
-- Digital Transformation
-- FinTech Integration
-- Infrastructure Management
-- IT Governance
-- Regulatory Compliance
Legal
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-- Collection of Legal Texts
-- Training Courses and Certifications
-- Company Law
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-- Contract Management
-- Cross-Border Legal Issues
-- Employment Law
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-- Intellectual Property (IP) Rights
-- Litigation and Dispute Resolution
Portfolio Management and Trading
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-- Collection of Legal Texts
-- Training Courses and Certifications
-- Algorithmic Trading
-- Best Execution
-- Foreign Subsidies Regulation (FSR)
-- Investment Decision-Making
-- Market Outages
-- Performance Measurement and Attribution
-- Reporting and Disclosure
-- Share Class Currency Hedging
-- Shareholder Rights
---- Exercise of Voting Rights
---- Shareholder Rights Directive II (SRD II)
-- Short Selling Regulation (SSR)
-- Specificities related to the Internal Performance of the Portfolio Management Function
---- Implementation of a Portfolio Management Procedure
---- Details on the Staff and IT Systems
---- Functioning of the Portfolio Management Committee
---- Use of Investment Advisers
Product Governance
-- Premium Content
-- Collection of Legal Texts
-- Training Courses and Certifications
-- New Product Process
Product Types and Designs
-- Premium Content
-- Domicile of Funds
---- France
---- Germany
---- Italy
---- Ireland
---- Luxembourg
---- Malta
---- Netherlands
---- Spain
---- Sweden
---- Switzerland
---- United Kingdom
-- UCITS (Undertakings for Collective Investment in Transferable Securities)
---- Standardised Model Prospectus for UCITS (by CSSF)
---- ETF (Exchange Traded Fund)
---- Guarantee Fund
---- MMF (Money Market Fund)
------ Money Market Funds Regulation (MMFR)
-- AIF (Alternative Investment Fund)
---- ELTIF (European Long Term Investment Fund)
---- Part II Fund
------ EuSEF (European Social Entrepreneurship Fund)
------ EuVECA (European Venture Capital Fund)
---- SICAR (Société d'Investissement en Capital à Risque)
---- SIF (Specialized Investment Fund)
---- RAIF (Reserved Alternative Investment Fund)
-- Unregulated Investment Vehicles
---- S.A. (Société Anonyme)
---- SAS (Société par Actions Simplifiée)
---- S.à r.l. (Société à Responsibilité Limitée)
---- SCA (Société en Commandite par Actions)
---- SNC (Société en Nom Collectif)
---- SCS (Société en Commandite Simple)
---- SCSp (Société en Commandite Spéciale)
---- SCOP (Société Coopérative)
---- SCoSA (Société Coopérative organisée sous forme de Société Anonyme)
-- Legal Forms for UCI in Luxembourg
---- FCP (Fonds Commun de Placement)
---- SICAF (Société d’Investissement à Capital Fixe)
---- SICAV (Société d’Investissement à Capital Variable)
------ Standardised Model Articles of Incorporation (by CSSF)
-- Bearer Shares and Units
-- Islamic Finance
---- Basic Shari'ah Principles
---- Role of the Shari'ah Board
-- Liquidation
---- Non-judicial Liquidation of a UCITS
------ Submission of the Request, Exchange of Comments, End of Examination and Approval of Request
------ Application for the Role of Liquidator(s)
------ Supervision of the Fund in Non-judicial Liquidation
-------- Financial Reports
-------- Non-financial Reports
------ Approval Process for Changes to a Service Provider during the Non-judicial Liquidation
-- Listing
---- BME Spanish Exchanges
---- Borsa Italiana
---- Börse Stuttgart
---- Deutsche Börse
---- Euronext
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---- Luxembourg Stock Exchange (LuxSE)
---- Nasdaq OMX
---- SIX Swiss Exchange
---- Warsaw Stock Exchange
Risk Management
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-- Collection of Legal Texts
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-- Permanent Risk Management Function
---- Obligations regarding Risk Management
---- Person responsible for the Permanent Risk Management Function
---- Risk Management Policy
---- Risk Management Procedure (RMP)
---- Use of Third-party Experts
-- European Market Infrastructure Regulation (EMIR)
---- Clearing Obligations
---- Risk Mitigation Techniques
---- Reporting Obligations
---- EMIR REFIT (EMIR REgulatory FITness Program)
-- UK European Market Infrastructure Regulation (UK EMIR)
---- Clearing Obligations
---- Risk Mitigation Techniques
---- Reporting Obligations
---- UK EMIR REFIT (UK EMIR REgulatory FITness Program)
-- Macroprudential Policy for Investment Funds
---- Interconnectedness
---- Leverage
---- Liquidity Mismatch
-- Securities Financing Transaction Regulation (SFTR)
---- Securities Financing Transactions (SFTs)
------ Repurchase Transactions
------ Securities or Commodities Lending and Securities or Commodities Borrowing
------ Buy-Sell Back Transactions and Sell-Buy Back Transactions
------ Margin Lending Transactions
---- Reporting Obligations
---- Reuse of Collateral
---- Transparency in Periodic Reports and Pre-Contractual Documents
-- Reporting and Disclosure
-- Risk Committee
-- Risk Profile
-- Enterprise Risk Management (ERM)
-- AI Risk
-- Capital Structure Risk
-- Concentration Risk
-- Counterparty Risk
-- Country Risk
---- Political Risk
-- Credit Risk
-- Currency Risk
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-- Interest Rate Risk
-- Issuer Risk
-- Key Person Risk
-- Legal Risk
-- Liquidity Risk
---- Funding Liquidity Risk
---- Market Liquidity Risk
---- Liquidity Management Tools (LMTs)
------ Anti-Dilution Levies
------ Dual Pricing
------ Extension of Notice Periods
------ Redemption Fee
------ Redemption Gate
------ Redemption in Kind
------ Side Pockets
------ Suspension of Subscriptions, Repurchases and Redemptions
------ Swing Pricing
-- Market Risk
-- Marketing Risk
---- Bluewashing Risk
---- Greenwashing Risk
---- Pinkwashing Risk (aka Rainbow Washing)
---- Purplewashing Risk
-- Operational Risk
-- Outsourcing Risk
-- Regulatory Risk
-- Sustainability Risk
-- Volatility Risk
Sustainability
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-- Collection of Legal Texts
-- Training Courses and Certifications
-- ESG (Environmental, Social, and Governance)
---- Environmental
---- Social
---- Governance
-- EU Taxonomy
---- Do No Significant Harm (DNSH)
---- Minimum Safeguards
-- SFDR (Sustainable Finance Disclosure Regulation)
---- Principal Adverse Impact (PAI)
---- Transparency Requirements
-- Hong Kong Taxonomy for Sustainable Finance
-- Swiss Climate Scores (SCS)
-- UK Sustainability Disclosure Requirements (UK SDR)
---- Anti-Greenwashing Rule
Taxation
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-- Collection of Legal Texts
-- Training Courses and Certifications
-- Corporate Taxation (Luxembourg)
---- Corporate Income Tax
---- Municipal Business Tax
---- Net Wealth Tax
---- Value Added Tax (VAT)
-- Employee Taxation (Luxembourg)
---- Income Tax
---- Social Security Contributions
-- Fund Taxation (Luxembourg)
---- Real Estate Tax (Prélèvement Immobilier)
---- Subscription Tax (Taxe d'Abonnement)
---- Value Added Tax (VAT)
---- Withholding Tax
-- Cross-Border Taxation
---- Anti-Tax Avoidance Directive (ATAD)
------ Anti-Tax Avoidance Directive 1 (ATAD 1)
------ Anti-Tax Avoidance Directive 2 (ATAD 2)
------ Anti-Tax Avoidance Directive 3 (ATAD 3)
---- Base Erosion and Profit Shifting (BEPS)
------ Pillar I
-------- Amount A
-------- Amount B
------ Pillar II
-------- Global Anti-Base Erosion (GloBE) Rules
---------- Income Inclusion Rule (IIR)
---------- Undertaxed Profits Rule (UTPR)
-------- Subject To Tax Rule (STTR)
------ Transfer Pricing
-------- Master File
-------- Local File
-------- Country-by-Country Report (CbCR)
---- Directive on Administrative Cooperation in Direkt Taxation (DAC)
------ Directive on Administrative Cooperation 6 (DAC 6)
------ Directive on Administrative Cooperation 7 (DAC 7)
------ Directive on Administrative Cooperation 8 (DAC 8)
-- CRS (Common Reporting Standard)
-- FATCA (Foreign Account Tax Compliance Act)
-- Tax Treaties and Double Taxation Relief
UCI Administration
-- Premium Content
-- Client Communication Function
---- Premium Content
---- Correspondence and Dispatch of Offering Documents and Financial Reports and Other Documents intended for Investors
---- Maintenance of Adequate Records
-- NAV Calculation and Accounting Function
---- Premium Content
---- Collection of Legal Texts
---- Training Courses and Certifications
---- Identification and Correct Recording of all Accounting Movements
------ Corporate Actions
---- Valuation of Liquid Investments
---- Valuation of Complex and Illiquid Investments
---- Determination of the Amount of Unrealised and Realised Gain/Loss
---- Calculation of Income to be Distributed to Investors
---- Compilation, Provision, and Allocation of Fees, Commissions, Taxes and Incomes
---- Conversion of Operations in Foreign Currencies in the Reference Currency
---- Calculation and Validation of the total NAV of the UCI per Unit/Share
------ Calculation of the total NAV of the UCI
-------- Swing Pricing
------ Validation of the NAV per Unit/Share
---- Calculation of the Exchange Ratio in Case of Merger and Subscription, Redemption or Distribution in Kind
---- Publication of the UCI’s NAV per Unit/Share
---- Drawing-up of Financial Reports and Other Documents intended for Investors
------ Annual Accounts and Financial Statements (UCI)
-------- International Financial Reporting Standards (IFRS)
-------- Luxembourg Generally Accepted Accounting Principles (Lux GAAP)
---- Maintenance of Adequate Records
-- Registrar Function
---- Premium Content
---- Collection of Legal Texts
---- Training Courses and Certifications
---- Investor Onboarding
---- Anti-Fraud Measures
---- Technology and Systems
---- Reception and Execution of the Subscription, Redemption, Transfer and Cancellation Orders
---- Application of the Subscription and Redemption Prices
---- Calculation of the Number of Outstanding Units/Shares and Maintenance of the Unit-/Shareholder Register
---- Reconciliation of the Subscription and Redemption Orders with the Related Cash Flows
---- Distribution of the Income generated to Investors according to the Provisions of the Prospectus, when applicable
---- Drawing-up of the Subscription or Redemption Contract Notes
---- Application of the Exchange Ratio in Case of Merger
---- Subscription, Redemption or Distribution in Kind
---- Distribution of Proceeds to the Public Trust Office (Luxembourg: Caisse de Consignation)
---- Maintenance of Adequate Records
-- Specificities related to the Wholly or Partially Internal UCI Administration Function
Valuation
-- Premium Content
-- Collection of Legal Texts
-- Training Courses and Certifications
-- Organisation of the Valuation Function (specific provisions to entities authorised as AIFM)
---- General Obligations
---- Specificities related to the Internal Performance of the Valuation Function
-- Asset Valuation Methods
---- Cost Approach
---- Discounted Cash-Flow Analysis (DCF)
---- Income Approach
---- Market Approach
-- Reporting and Disclosure
-- Valuation Committee
-- Valuation Governance
-- Valuation Policies and Procedures
---- External Valuer
-- ABS/MBS/CDO
---- Asset Backed Securities (ABS)
------ Aircraft-Backed Securities
------ Auto Lease-Backed Securities
------ Auto Loan-Backed Securities
------ Credit Card-Backed Securities
------ Diversified Payment Rights-Backed Securities
------ Equipment-Backed Securities
------ Marketplace Lending-Backed Securities
------ Railcar-Backed Securities
------ Rate Reduction-Backed Securities
------ Residential Solar-Backed Securities
------ Royalty-Backed Securities
------ Shipping Container-Backed Securities
------ Single Family Rental-Backed Securities
------ Structured Settlement-Backed Securities
------ Student Loan-Backed Securities
------ Timeshare-Backed Securities
------ Triple Net Lease-Backed Securities
------ Whole Business-Backed Securities
---- Mortgage Backed Securities (MBS)
------ Commercial Mortgage-Backed Securities (CMBS)
------ Residential Mortgage-Backed Securities (RMBS)
------ Collateralized Mortgage Obligations (CMOs)
---- Collateralized Debt Obligations (CDO)
------ Collateralized Loan Obligations (CLOs)
------ Collateralized Bond Obligations (CBOs)
-- Bonds
---- Bonds with Fixed, Regular Interest Rates (Classic Bonds)
---- Bonds with Variable Interest Rates (Floaters)
---- Convertible Bonds and Warrant-Linked Bonds
------ Additional Tier 1 Bonds (AT1s)
---- Foreign Currency Bonds
---- Inflation-Linked Bonds
---- Low-Interest Bonds
---- Participation Certificates
---- Structured Bonds
---- Subordinated Bonds
---- Zero Coupon Bonds
-- Cash and Cash Equivalents
-- Commodities
-- Certificates
---- Bonus Certificates
---- Discount Certificates
---- Express Certificates
---- Outperformance Certificates
---- Tracker Certificates
---- other Certificates
-- Cryptocurrencies
-- Derivatives
---- Commodity Derivatives
---- Forwards
---- Futures
---- Options
---- Swaps
------ Credit Default Swaps (CDS)
---- other Derivatives
-- Equities (Stocks)
-- Funds
---- Exchange-Traded Funds (ETFs)
---- Fund of Funds (FOF)
---- Hedge Funds
---- Mutual Funds
-- Private Equity
-- Real Estate and Infrastructure
-- Sukuk
-- other (Niche) Asset Classes
---- Antiques
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---- Films
---- Wine
---- Watches
---- other
Events
-- Premium Content
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-- other Countries
