Commission Directive 2010/43/EU - UCITS Implementing (No 1) Directive

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	Recitals
	Chapter I Subject matter, Scope and Definitions (arts. 1-3)
Entered into force	Article 1 Subject matter
Entered into force	Article 2 Scope
Entered into force	Article 3 Definitions
	Chapter II Administrative procedures and control mechanism (Article 12(1)(a) and Article 14(1)(c) of Directive 2009/65/EC) (arts. 4-16)
	Section 1 General principles (arts. 4-5a)
Entered into force	Article 4 General requirements on procedures and organisation
Entered into force	Article 5 Resources
Entered into force	Article 5a Obligation for investment companies to integrate sustainability risks in the management of UCITS
	Section 2 Administrative and accounting procedures (arts. 6-8)
Entered into force	Article 6 Complaints handling
Entered into force	Article 7 Electronic data processing
Entered into force	Article 8 Accounting procedures
	Section 3 Internal control mechanisms (arts. 9-16)
Entered into force	Article 9 Control by senior management and supervisory function
Entered into force	Article 10 Permanent compliance function
Entered into force	Article 11 Permanent internal audit function
Entered into force	Article 12 Permanent risk management function
Entered into force	Article 13 Personal transactions
Entered into force	Article 14 Recording of portfolio transactions
Entered into force	Article 15 Recording of subscription and redemption orders
Entered into force	Article 16 Recordkeeping requirements
	Chapter III Conflict of interests (Article 12(1)(b) and Article 14(1)(d) and (2)(c) of Directive 2009/65/EC) (arts. 17-21)
Entered into force	Article 17 Criteria for the identification of conflicts of interest
Entered into force	Article 18 Conflicts of interest policy
Entered into force	Article 19 Independence in conflicts management
Entered into force	Article 20 Management of activities giving rise to detrimental conflict of interest
Entered into force	Article 21 Strategies for the exercise of voting rights
	Chapter IV Rules of conduct (Article 14(1)(a), (b) and (2)(a), (b) of Directive 2009/65/EC) (arts. 22-29)
	Section 1 General principles (arts. 22-23)
Entered into force	Article 22 Duty to act in the best interests of UCITS and their unit-holders
Entered into force	Article 23 Due diligence requirements
	Section 2 Handling of subscription and redemption orders (art. 24)
Entered into force	Article 24 Reporting obligations in respect of execution of subscription and redemption orders
	Section 3 Best execution (arts. 25-26)
Entered into force	Article 25 Execution of decisions to deal on behalf of the managed UCITS
Entered into force	Article 26 Placing orders to deal on behalf of UCITS with other entities for execution
	Section 4 Handling of orders (arts. 27-28)
Entered into force	Article 27 General principles
Entered into force	Article 28 Aggregation and allocation of trading orders
	Section 5 Inducements (art. 29)
Entered into force	Article 29 Safeguarding the best interests of UCITS
	Chapter V Particulars of the standard agreement between a depositary and a managment company (Article 23(5) and Article 33(5) of Directive 2009/65/EC)(arts. 30-37) (arts. 30-37)
Entered into force	Article 30 Elements related to the procedures to be followed by the parties to the agreement
Entered into force	Article 31 Elements related to the exchange of information and to obligations on confidentiality and money-laundering
Entered into force	Article 32 Elements related to the appointment of third parties
Entered into force	Article 33 Elements related to potential amendments and the termination of the agreement
Entered into force	Article 34 Applicable law
Entered into force	Article 35 Electronic transmission of information
Entered into force	Article 36 Scope of the agreement
Entered into force	Article 37 Service level agreement
	Chapter VI Risk management (Article 51(1) of Directive 2009/65/EC) (arts. 38-45)
	Section 1 Risk management policy and risk measurement (arts. 38-39)
Entered into force	Article 38 Risk management policy
Entered into force	Article 39 Assessment, monitoring and review of risk management policy
	Section 2 Risk management processes, Counterparty risk exposure and issuer concentration (arts. 40-43)
Entered into force	Article 40 Measurement and management of risk
Entered into force	Article 41 Calculation of global exposure
Entered into force	Article 42 Commitment approach
Entered into force	Article 43 Counterparty risk and issuer concentration
	Section 3 Procedures for the valuation of the OTC derivatives (art. 44)
Entered into force	Article 44 Procedures for the assessment of the value of OTC derivatives
	Section 4 Transmission of information on derivative instruments (art. 45)
Entered into force	Article 45 Reports on derivative instruments
	Chapter VII Final provisions (arts. 46-48)
Entered into force	Article 46 Transposition
Entered into force	Article 47 Entry into force
Entered into force	Article 48 Addressees
	Done at

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