Directive 2009/65/EC - Undertakings for Collective Investment in Transferable Securities IV (recast) (UCITS IV)

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Version status: Applicable | Document consolidation status: Updated to reflect all known changes

Published date: 17 November 2009

Consolidation Status: Updated to reflect all known changes

Proposals incorporated


	Recitals
	Chapter I Subject matter, scope and definitions (arts. 1-4)
Applicable	Article 1
Amended	Article 2
Applicable	Article 3
Entered into force	Article 4
	Chapter II Authorisation of UCITS (art. 5)
Applicable	Article 5
	Chapter III Obligations regarding management companies (arts. 6-21)
	Section 1 Conditions for taking up business (arts. 6-8)
Applicable	Article 6
Amended	Article 7
Applicable	Article 8
	Section 2 Relations with third countries (art. 9)
Applicable	Article 9
	Section 3 Operating conditions (arts. 10-15)
Applicable	Article 10
Applicable	Article 11
Amended	Article 12
Applicable	Article 13
Amended	Article 14
Inserted	Article 14a
Amended	Article 14b
Entered into force	Article 15
	Section 4 Freedom of establishment and freedom to provide services (arts. 16-21)
Applicable	Article 16
Amended	Article 17
Applicable	Article 18
Entered into force	Article 19
Amended	Article 20
Applicable	Article 21
	Chapter IV Obligations regarding the depositary (arts. 22-26)
Amended	Article 22
Inserted	Article 22a
Amended	Article 23
Amended	Article 24
Amended	Article 25
Amended	Article 26
Inserted	Article 26a
Inserted	Article 26b
	Chapter V Obligations regarding investment companies (arts. 27-36)
	Section 1 Conditions for taking up business (arts. 27-29)
Applicable	Article 27
Applicable	Article 28
Applicable	Article 29
	Section 2 Operating conditions (arts. 30-31)
Amended	Article 30
Applicable	Article 31
	Section 3 Obligations regarding the depositary (arts. 32-36)
Deleted	Article 32
Deleted	Article 33
Deleted	Article 34
Deleted	Article 35
Deleted	Article 36
	Chapter VI Mergers of UCITS (arts. 37-48)
	Section 1 Principle, authorisation and approval (arts. 37-40)
Entered into force	Article 37
Entered into force	Article 38
Entered into force	Article 39
Entered into force	Article 40
	Section 2 Third-party control, information of unit-holders and other rights of unit-holders (arts. 41-45)
Entered into force	Article 41
Entered into force	Article 42
Amended	Article 43
Entered into force	Article 44
Entered into force	Article 45
	Section 3 Costs and entry into effect (arts. 46-48)
Entered into force	Article 46
Entered into force	Article 47
Entered into force	Article 48
	Chapter VII Obligations concerning the investment policies of UCITS (arts. 49-57)
Entered into force	Article 49
Applicable	Article 50
Amended	Article 50a
Amended	Article 51
Amended	Article 52
Applicable	Article 53
Applicable	Article 54
Applicable	Article 55
Applicable	Article 56
Applicable	Article 57
	Chapter VIII Master-feeder structures (arts. 58-67)
	Section 1 Scope and approval (arts. 58-59)
Entered into force	Article 58
Entered into force	Article 59
	Section 2 Common provisions for feeder and master UCITS (art. 60)
Amended	Article 60
	Section 3 Depositaries and auditors (arts. 61-62)
Amended	Article 61
Amended	Article 62
	Section 4 Compulsory information and marketing communications by the feeder UCITS (art. 63)
Entered into force	Article 63
	Section 5 Conversion of existing UCITS into feeder UCITS and change of master UCITS (art. 64)
Amended	Article 64
	Section 6 Obligations and competent authorities (arts. 65-67)
Entered into force	Article 65
Entered into force	Article 66
Entered into force	Article 67
	Chapter IX Obligations concerning information to be provided to investors (arts. 68-82a)
	Section 1 Publication of a prospectus and periodical reports (arts. 68-75)
Applicable	Article 68
Amended	Article 69
Applicable	Article 70
Entered into force	Article 71
Entered into force	Article 72
Applicable	Article 73
Entered into force	Article 74
Amended	Article 75
	Section 2 Publication of other information (arts. 76-77)
Applicable	Article 76
Deleted	Article 77
	Section 3 Key investor information (arts. 78-82a)
Amended	Article 78
Entered into force	Article 79
Entered into force	Article 80
Amended	Article 81
Entered into force	Article 82
Inserted	Article 82a
	Chapter X General obligations of UCITS (arts. 83-90)
Applicable	Article 83
Applicable	Article 84
Applicable	Article 85
Entered into force	Article 86
Applicable	Article 87
Applicable	Article 88
Applicable	Article 89
Entered into force	Article 90
	Chapter XI Special provisions applicable to UCITS which market their units in Member States other than those in which they are established (arts. 91-96)
Amended	Article 91
Amended	Article 92
Amended	Article 93
Inserted	Article 93a
Entered into force	Article 94
Amended	Article 95
Entered into force	Article 96
	Chapter XII Provisions concerning the authorities responsible for authorisation and supervision (arts. 97-110)
Amended	Article 97
Amended	Article 98
Amended	Article 99
Inserted	Article 99a
Inserted	Article 99b
Inserted	Article 99c
Inserted	Article 99d
Inserted	Article 99e
Entered into force	Article 100
Amended	Article 101
Applicable	Article 102
Applicable	Article 103
Applicable	Article 104
Inserted	Article 104a
Applicable	Article 105
Applicable	Article 106
Entered into force	Article 107
Amended	Article 108
Applicable	Article 109
Entered into force	Article 110
	Chapter XIII Delegated Acts and Powers of Execution (arts. 111-112b)
Amended	Article 111
Amended	Article 112
Amended	Article 112a Revocation of the delegation
Deleted	Article 112b Objections to delegated acts
	Chapter XIV Derogations, transitional and final provisions (arts. 113-119)
	Section 1 Derogations (arts. 113-114)
Applicable	Article 113
Entered into force	Article 114
	Section 2 Transitional and final provisions (arts. 115-119)
Entered into force	Article 115
Entered into force	Article 116
Applicable	Article 117
Entered into force	Article 118
Entered into force	Article 119
Amended	Annex I
Applicable	Annex II
	Annex III
Applicable	Annex III Part A Repealed Directive with list of its successive amendments (referred to in Article 117)
Applicable	Annex III Part B List of time limits for transposition into national law and application (referred to in Article 117)
Applicable	Annex IV Correlation table
	Done at

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