law of 20 December 2002 - Alfi

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The same principles apply to the applications for approval of supplements to the prospectusin accordance with Article 13 paragraph 1, for which the maximum time limit for approvalis 7 days.5. Treatment of applications for approval and approvalThe CSSF communicates the approval either via e-file or e-mail to the address statedto this end by the Déposant at the Official Submission. The CSSF confirms the approvalin writing to the postal address of the issuer, the offeror or the person asking for theadmission.6. Submissions of requests for certificates of approvalIn accordance with Article 19 of chapter 2 of Part II of the Prospectus law, the requestsfor certificates of approval for the purpose of notification by the CSSF to one or severalcompetent authorities of the host Member States shall be sent according to the sameprocedures as those referred to in point 3 above. This request shall be sent together withthe draft prospectus or separately. This request shall include the following information anddocuments:• indication of the host Member State for which the notification shall be prepared;• indication of the date on which the notification is requested;• as the case may be, the translation of the summary produced under the responsibilityof the issuer or person responsible for drawing up the prospectus.The same procedure shall apply for any supplement to the prospectus, and, as the casemay be, the summary.7. Filing of documents that are not subject to approvalThe filing of documents that are not subject to approval shall be made in accordance withthe same procedures as those referred to in point 3 above. The documents concerned arethe following:• the registration document, insofar as its approval is not sought, which shall be expresslymentioned (Article 11); and• the annual document as defined in Article 14.8. Notices for offers to the public and admission to trading on regulated marketThe notices for offers to the public of units or shares of Luxembourg closed-end UCIs andnotifices for admissions of units or shares of Luxembourg closed-end UCIs to trading on aregulated market referred to in Part II of the Prospectus law in accordance with Articles 5and 6 of Part II of the Prospectus law shall be made in accordance with the same proceduresas those referred to in point 3 above.Every notice shall include the following information and documents:• the object of the notice (indication of the nature and timetable of the transactionplanned in Luxembourg);• the name and address of the person issuing the notice, of the issuer for whom thenotice is made, as well as the contact data of the contact person(s).217
218The Official Submission made in relation to an application for approval of a prospectus(or the filing of final terms, respectively) is simultaneously considered as a notice, i.e. thepersons who made an Official Submission in accordance with point 3 above, do not alsohave to submit a notice in accordance with this point 8.
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Undertakingsfor collective investme
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Published by the SOCIETE DE LA BOUR
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TABLE OF CONTENTSLAW DATED 20 DECEM
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Chapter E. Rules concerning the dep
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CSSF CIRCULAR 03/88 OF 22 JANUARY 2
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law dated 20 December 2002 relating
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annual accounts of certain types of
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25) a “UCITS home Member State”
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Art. 5Art. 6Art. 7Art. 8Art. 9Chapt
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commercial companies, as amended. T
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d) where the CSSF withdraws its aut
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The applicant shall be informed, wi
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Art. 30 (1) If the capital of the S
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Art. 40 Articles 26, 27, 28 with th
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(2) However:a) a UCITS may invest n
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Companies which are included in the
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Art. 48 (1) An investment company o
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Art. 54Art. 55Art. 56Art. 57In the
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contributed by them and whose right
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(4) Where the maximum percentages f
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y a supervisory authority set up by
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- For the purpose of this paragraph
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(2) Any change of external auditors
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Art. 86g) the mandate shall not pre
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) a programme of operations stating
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Art. 92(2) The CSSF will grant auth
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of professional secrecy provided fo
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The communication of information by
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The Court shall decide as to the ex
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(6) The Court’s decisions pronoun
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(2) The full prospectus shall conta
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The CSSF may request an auditor to
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(2) any person who has issued or re
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Art. 130Art. 131(3) Are exempt from
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Chapter 21. - Transitional and repe
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ANNEXE ISchedule A1. Information co
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1. Information concerning thecommon
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5. Other investment information:5.1
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- distributions and income reinvest
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- when and how dividends on units o
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GRAND-DUCAL REGULATION OF 14 APRIL
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Grand-Ducal Regulation of 08 Februa
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(c) financial instruments which ful
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(b) updates of the information refe
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Article 9Financial indices1. The re
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2. The reference in the first inden
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CHAPTER APURPOSE AND SCOPE OF THE L
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If the review of the application fi
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The following types of UCITS are co
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CHAPTER DRULES CONCERNING THE CENTR
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- the central administration must b
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For the purposes of the processing
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Considering the above, a derogatory
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CHAPTER ERULES CONCERNING THE DEPOS
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conformity of a decision taken by t
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- liability of the depositary for t
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It follows that the authorised inve
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CHAPTER GRULES APPLICABLE TO UCITS
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CHAPTER HRULES APPLICABLE TO ALL UC
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Subject to the conditions specified
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4. Repurchase agreements.UCITS may
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2. Investment restrictions.The inve
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3. Borrowings.The UCI may only borr
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4. Special regulations.Apart from t
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CHAPTER JRULES APPLICABLE TO MULTIP
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However, this difference of value o
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CHAPTER LINFORMATION AND ADVERTISEM
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The auditor’s report provided for
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CHAPTER MFINANCIAL INFORMATION 129
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VII. Identification numberThe CSSF
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CHAPTER OMARKETING RULES APPLICABLE
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APPENDIXTo be forwarded to theCommi
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Unless provided differently in thei
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(a) The information to be furnished
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In those circumstances, it is in pr
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The conclusions of the external aud
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The tolerance levels which are prov
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Such UCIs have to comply with the p
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D. Additional Investment Restrictio
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The UCI can either act as buyer or
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CSSF Circular 02/81 of 6 december 2
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I. MandateThe auditor is appointed
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In the long form report, the audito
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For common funds the management of
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Page 172 and 173: 1.4. Relationship with other interm
Page 174 and 175: - market risk- settlement risk- for
Page 176 and 177: 4. Complaints from investorsThe aud
Page 178 and 179: CSSF Circular 03/87 of 21 january 2
Page 180 and 181: B. Provisions concerning management
Page 182 and 183: UCIs established prior to 1 January
Page 184 and 185: UCITS subject to Part I of the law
Page 186 and 187: Also covered by this category are U
Page 188 and 189: It is strongly recommended that UCI
Page 190 and 191: Finally, the transitional provision
Page 192 and 193: The management company’s and the
Page 194 and 195: in the delegation agreement by mean
Page 196 and 197: Especially, the activity programme
Page 198 and 199: Annex 1Table SG 1ACompany:Person in
Page 200 and 201: Annex 3Table SG 1CCompany:Person in
Page 202 and 203: Annex 5Table SIAG 1ACompany:Status:
Page 204 and 205: CSSF CIRCULAR 03/122 of 19 December
Page 206 and 207: If the UCITS is established as a UC
Page 208 and 209: CSSF Circular 04/146 of 17 June 200
Page 210 and 211: If intermediaries in charge of the
Page 212 and 213: CSSF CIRCULAR 05/177 of 6 April 200
Page 214 and 215: analysed on a case by case basis, c
Page 216 and 217: The following extracts, which are o
Page 218 and 219: This circular does not apply to com
Page 222 and 223: CSSF Circular 07/277 OF 9 January 2
Page 224 and 225: The attestation letter discloses al
Page 226 and 227: Annex 1.List of documents that a UC
Page 228 and 229: Annex 3.Specific information on the
Page 230 and 231: used pursuant to Article 41 (1) g)
Page 232 and 233: At the very least, the Commission e
Page 234 and 235: If UCITS are authorised to avail th
Page 236 and 237: When the reasons put forth by the U
Page 238 and 239: • is valued at market price, at a
Page 240 and 241: • hold in its portfolio the under
Page 242 and 243: UCITS Risk Market Limit (*) Referen
Page 244 and 245: AppendicesAppendix 1: Determination
Page 246 and 247: Appendix 2: Criteria governing the
Page 248 and 249: Before using the model for the firs
Page 250 and 251: CSSF CIRCULAR 08/339 OF 19 February
Page 252 and 253: CSSF CIRCULAR 08/356 OF 4 June 2008
Page 254 and 255: In case of a standardised securitie
Page 256 and 257: 3. Periodical information of the pu
Page 258 and 259: The risk exposure to a single count
Page 260 and 261: The reinvestment of cash received a
Page 262 and 263: 191, 192, 193, 194, 201, 204, 205,
Page 264 and 265: Option…………………… 67,
Page 266 and 267: Third country…………………
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law of 20 December 2002 - Alfi

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