Central Bank (Supervision and Enforcement) Act 2013 (Section 48(1)) (Undertakings for Collective Investment in Transferable Securities) Regulations 2015 [S.I. No. 420 of 2015]

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

Published date: 1 October 2015

Consolidation Status: Updated to reflect all known changes

See the Table of Destinations which maps the provisions of the Central Bank UCITS Regulations 2015 to those in 2019.

Comparing proposed amendment...


	Introductory Text
	Part 1 Preliminary and general (regs. 1-2)
Revoked	Regulation 1 Citation and commencement
Revoked	Regulation 2 Interpretation
	Part 2 Restrictions on UCITS (regs. 3-43)
	Chapter 1 General (regs. 3-9A)
Revoked	Regulation 3 General restrictions
Revoked	Regulation 4 Eligible assets: transferable securities
Revoked	Regulation 5 Closed-ended funds
Revoked	Regulation 6 Money-market instruments
Revoked	Regulation 7 Deposits with credit institutions
Revoked	Regulation 8 Financial derivative instruments
Revoked	Regulation 9 Financial Index
Revoked	Regulation 9A Investment through subsidiaries
	Chapter 2 Investment Restrictions (regs. 10-14)
Revoked	Regulation 10 Investment funds
Revoked	Regulation 11 Ancillary liquidity
Revoked	Regulation 12 Recently issued transferable securities
Revoked	Regulation 13 Financial derivative instruments
Revoked	Regulation 14 Borrowings by a UCITS
	Chapter 3 Financial Derivative Instruments (regs. 15-22)
Revoked	Regulation 15 Cover requirements
Revoked	Regulation 16 Risk management process and reporting
Revoked	Regulation 17 Calculation of global exposure
Revoked	Regulation 18 Global exposure: commitment approach (structured UCITS)
Revoked	Regulation 19 Global exposure: Value at Risk approach
Revoked	Regulation 20 Back-testing
Revoked	Regulation 21 Stress-testing
Revoked	Regulation 22 Value at Risk approach: additional safeguards
	Chapter 4 Efficient Portfolio Management (regs. 23-25)
Revoked	Regulation 23 Portfolio management techniques
Revoked	Regulation 24 Collateral
Revoked	Regulation 25 Repurchase and reverse repurchase agreements
	Chapter 5 Share Classes (reg. 26)
Revoked	Regulation 26 Creation of share classes in a UCITS
	Chapter 6 Constitutional Documents (regs. 27-32)
Revoked	Regulation 27 Fees
Revoked	Regulation 28 Investment
Revoked	Regulation 29 Umbrella UCITS
Revoked	Regulation 30 Distributions out of, and charging of fees and expenses to, capital
Revoked	Regulation 31 Dealing in specie
Revoked	Regulation 32 Replacement of depositary
	Chapter 7 Dealing (reg. 33)
Revoked	Regulation 33 Subscriptions and redemptions
	Chapter 8 Valuation (regs. 34-38)
Revoked	Regulation 34 Valuation policy
Revoked	Regulation 35 Dealing
Revoked	Regulation 36 Methods of valuation
Revoked	Regulation 37 Responsibility for valuation policy
Revoked	Regulation 38 Anti-dilution levy
	Chapter 9 Remuneration (reg. 39)
Revoked	Regulation 39 Restriction on payment of certain fees
	Chapter 10 Transactions involving Connected Persons (regs. 40-41)
Revoked	Regulation 40 Interpretation: Chapter 10 of Part 2
Revoked	Regulation 41 Restrictions on transactions with connected persons
	Chapter 11 Directed Brokerage Services (regs. 42-43)
Revoked	Regulation 42 Rebates of commission
Revoked	Regulation 43 Costs, fees and expenses of directed brokerage services
	Part 3 Supervisory requirements (regs. 44-49)
Revoked	Regulation 44 General conditions
Revoked	Regulation 45 Charges for redemption or repurchase of units
Revoked	Regulation 46 Replacement of depositary
Revoked	Regulation 47 Replacement of management company or third party
Revoked	Regulation 48 Monthly returns
Revoked	Regulation 49 Quarterly returns
	Part 4 Prospectus Requirements (regs. 50-71)
Revoked	Regulation 50 General requirements
Revoked	Regulation 51 Advertising
Revoked	Regulation 52 Prospectus: general
Revoked	Regulation 53 Prospectus: investment policy
Revoked	Regulation 54 Financial index
Revoked	Regulation 55 Structured UCITS
Revoked	Regulation 56 Fund of funds
Revoked	Regulation 57 Index-tracking funds
Revoked	Regulation 58 Efficient portfolio management
Revoked	Regulation 59 Dealing
Revoked	Regulation 60 Redemption in specie
Revoked	Regulation 61 Remuneration and costs arising
Revoked	Regulation 62 Umbrella UCITS
Revoked	Regulation 63 Authorisation status
Revoked	Regulation 64 Risk disclosures
Revoked	Regulation 65 UCITS that use financial derivative instruments
Revoked	Regulation 66 Cash and money-market funds
Revoked	Regulation 67 Structured UCITS
Revoked	Regulation 68 Distributions out of capital
Revoked	Regulation 69 Conflicts of interest
Revoked	Regulation 70 Directed brokerage services and similar arrangements
Revoked	Regulation 71 Share classes
	Part 5 Key Investor Information Document (regs. 72-75)
Revoked	Regulation 72 General
Revoked	Regulation 73 Investment objective and policy
Revoked	Regulation 74 Risk and reward profile
Revoked	Regulation 75 Filing requirements
	Part 6 General Operational Requirements (regs. 76-77)
Revoked	Regulation 76 Regulated markets
Revoked	Regulation 77 Directed brokerage services or similar arrangements
	Part 7 Annual and Half-Yearly Reports of a UCITS (regs. 78-80)
Revoked	Regulation 78 Publication of annual and half-yearly reports
Revoked	Regulation 79 Additional information to be included in the annual report
Revoked	Regulation 80 Additional information to be included in the half-yearly report
	Part 8 Requirements in Respect of Specific Types of fund (regs. 81-89)
Revoked	Regulation 81 Interpretation: Part 8
Revoked	Regulation 82 Exchange-traded funds
Revoked	Regulation 83 Actively managed UCITS ETFs
Revoked	Regulation 84 Treatment of secondary market investors of a UCITS ETF
Revoked	Regulation 85 Money-market UCITS
Revoked	Regulation 86 Short-Term Money-Market Funds
Revoked	Regulation 87 Money-Market Funds
Revoked	Regulation 88 Short-Term Money-Market Funds: valuation on the basis of amortised cost
Revoked	Regulation 89 European Central Bank reporting requirements
	Part 9 Guaranteed UCITS (regs. 90-92)
Revoked	Regulation 90 General
Revoked	Regulation 91 Legal agreement
Revoked	Regulation 92 Disclosure
	Part 10 Cross-Border Notification of UCITS (regs. 93-94)
Revoked	Regulation 93 Outward marketing: UCITS authorised under the UCITS Regulations
Revoked	Regulation 94 Inward marketing: UCITS authorised in another Member State
	Part 11 Management Companies (regs. 95-110)
	Chapter 1 General Requirements (regs. 95-105)
Revoked	Regulation 95 Operating conditions
Revoked	Regulation 95A Remuneration policies
Revoked	Regulation 96 Capital
Revoked	Regulation 97 Organisational requirements: general
Revoked	Regulation 98 Organisational requirements: delegation
Revoked	Regulation 99 Code of conduct in relation to collective portfolio management
Revoked	Regulation 100 Directors
Revoked	Regulation 101 Record-keeping
Revoked	Regulation 102 Management resources
Revoked	Regulation 103 Relationship with the Bank
Revoked	Regulation 104 Financial control, management and company secretarial information
Revoked	Regulation 105 Internally-managed investment companies
	Chapter 2 Management Company Passport (regs. 106-110)
Revoked	Regulation 106 Notifications
Revoked	Regulation 107 Assessment: general requirements
Revoked	Regulation 108 Assessment: governance issues
Revoked	Regulation 109 Assessment: administrator issues
Revoked	Regulation 110 Assessment: depositary issues
	Part 12 UCITS Depositaries (regs. 111-120)
Revoked	Regulation 111 Organisational requirements
Revoked	Regulation 112 Governance
Revoked	Regulation 113 Operating conditions
Revoked	Regulation 114 Depositary obligations and restrictions
Revoked	Regulation 114A
Revoked	Regulation 115 Operating conditions
Revoked	Regulation 116 Depositary agreement
Revoked	Regulation 117 Permitted markets
Revoked	Regulation 118 Valuation of a UCITS
Revoked	Regulation 119 Dealing in specie
Revoked	Regulation 120 Relationship with the Bank
	Part 13 Miscellaneous Provisions (regs. 121-124)
Revoked	Regulation 121 Reporting requirements
Revoked	Regulation 122 Service of notice or other document by the Bank
Revoked	Regulation 123 Records and Compliance
Revoked	Regulation 124 Transitional requirements
Revoked	Schedule 1 Regulatory Criteria
Revoked	Schedule 2 Netting and Hedging
Revoked	Schedule 3 Conditions for Collateral Received by a UCITS
Revoked	Schedule 4 Calculation of Global Exposure using the Value at Risk (VaR) Approach
Revoked	Schedule 5 Methods of Valuation
Revoked	Schedule 6 Advertising Standards for Certain UCITS
Revoked	Schedule 7 Additional Information to be Included in the Annual Report
Revoked	Schedule 8 Additional Information to be Included in the Half-Yearly Report
Revoked	Schedule 9 Minimum Capital Requirement Report
Revoked	Schedule 10 Managerial functions of the Management company
Revoked	Schedule 11 Records of a Management company
	Given under

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