Archives: Documents

10 Results

  • CSSF circular
    Document date: 1 October 2002

    Circular CSSF 02/71

    Law of 3 September 1996 concerning the involuntary dispossession of bearer securities

    Main topics: Markets in Financial Instruments (MiFID II/MiFIR)
    Relevant for: Investment companies in risk capital (SICARs) Investment firms Specialised investment funds (SIFs) Specialised PFS Support PFS Undertakings for collective investment in transferable securities (UCITS) Undertakings for collective investment subject to Part II of the Law of 17 December 2010 (Part II UCIs)
    Topics: Trading venue Transaction reporting
  • CSSF circular
    Document date: 27 November 2002
    Archived since 1 January 2025

    Circular CSSF 02/77 repealed by Circular CSSF 24/856

    Protection of investors in case of NAV calculation error and correction of the consequences resulting from non-compliance with the investment rules applicable to undertakings for collective investment

    Relevant for: Investment firms Specialised investment funds (SIFs) Undertakings for collective investment in transferable securities (UCITS) Undertakings for collective investment subject to Part II of the Law of 17 December 2010 (Part II UCIs)
    Topics: Accounting NAV calculation UCI administration
  • CSSF circular
    Document date: 6 December 2002
    Archived since 30 June 2022

    Circular CSSF 02/81 repealed by Circular CSSF 21/790

    Guidelines concerning the task of auditors of undertakings for collective investment

    Main topics: Financial crime
    Relevant for: Credit institutions Investment firms Investment fund managers Specialised PFS Undertakings for collective investment in transferable securities (UCITS) Undertakings for collective investment subject to Part II of the Law of 17 December 2010 (Part II UCIs)
    Topics: Accounting AML/CFT Customer onboarding NAV calculation Outsourcing UCI administration
  • CSSF circular
    Document date: 28 February 2003

    Circular CSSF 03/97

    Publication in the electronic reference database of the financial centre (“référentiel de la place”) of the simplified and full prospectuses as well as the annual and half-yearly reports by undertakings for collective investment

    Relevant for: Investment firms Management companies - Chapter 15 Management companies - Chapter 16 Undertakings for collective investment in transferable securities (UCITS) Undertakings for collective investment subject to Part II of the Law of 17 December 2010 (Part II UCIs)
    Topics: Transparency UCI prospectus
  • CSSF circular
    Document date: 22 January 2003
    Archived since 26 February 2024

    Circular CSSF 03/88 (repealed)

    Classification of the undertakings for collective investment governed by the provisions of the Law of 20 December 2002 concerning undertakings for collective investment

    Relevant for: Investment firms Management companies - Chapter 15 Management companies - Chapter 16 Undertakings for collective investment in transferable securities (UCITS) Undertakings for collective investment subject to Part II of the Law of 17 December 2010 (Part II UCIs)
  • CSSF circular
    Document date: 6 April 2005

    Circular CSSF 05/177

    Abolition of any prior control by the CSSF of advertising material used by persons and companies supervised by the CSSF; abrogation of point II. of Chapter L. of IML circular 91/75; abrogation of the two last sentences of point IV. 5.11 of Circular CSSF 2000/15

    Relevant for: Investment firms Management companies - Chapter 15 Management companies - Chapter 16 Specialised PFS Support PFS Undertakings for collective investment in transferable securities (UCITS) Undertakings for collective investment subject to Part II of the Law of 17 December 2010 (Part II UCIs)
    Topics: Transparency