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Chapter 1 General (regs. 3-9A) |
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Regulation 3 General restrictions |
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Regulation 4 Eligible assets: transferable securities |
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Regulation 5 Closed-ended funds |
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Regulation 6 Money-market instruments |
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Regulation 7 Deposits with credit institutions |
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Regulation 8 Financial derivative instruments |
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Regulation 9 Financial Index |
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Regulation 9A Investment through subsidiaries |
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Chapter 2 Investment Restrictions (regs. 10-14) |
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Regulation 10 Investment funds |
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Regulation 11 Ancillary liquidity |
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Regulation 12 Recently issued transferable securities |
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Regulation 13 Financial derivative instruments |
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Regulation 14 Borrowings by a UCITS |
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Chapter 3 Financial Derivative Instruments (regs. 15-22) |
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Regulation 15 Cover requirements |
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Regulation 16 Risk management process and reporting |
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Regulation 17 Calculation of global exposure |
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Regulation 18 Global exposure: commitment approach (structured UCITS) |
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Regulation 19 Global exposure: Value at Risk approach |
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Regulation 20 Back-testing |
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Regulation 21 Stress-testing |
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Regulation 22 Value at Risk approach: additional safeguards |
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Chapter 4 Efficient Portfolio Management (regs. 23-25) |
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Regulation 23 Portfolio management techniques |
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Regulation 24 Collateral |
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Regulation 25 Repurchase and reverse repurchase agreements |
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Chapter 5 Share Classes (reg. 26) |
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Regulation 26 Creation of share classes in a UCITS |
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Chapter 6 Constitutional Documents (regs. 27-32) |
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Regulation 27 Fees |
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Regulation 28 Investment |
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Regulation 29 Umbrella UCITS |
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Regulation 30 Distributions out of, and charging of fees and expenses to, capital |
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Regulation 31 Dealing in specie |
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Regulation 32 Replacement of depositary |
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Chapter 7 Dealing (reg. 33) |
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Regulation 33 Subscriptions and redemptions |
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Chapter 8 Valuation (regs. 34-38) |
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Regulation 34 Valuation policy |
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Regulation 35 Dealing |
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Regulation 36 Methods of valuation |
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Regulation 37 Responsibility for valuation policy |
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Regulation 38 Anti-dilution levy |
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Chapter 9 Remuneration (reg. 39) |
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Regulation 39 Restriction on payment of certain fees |
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Chapter 10 Transactions involving Connected Persons (regs. 40-41) |
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Regulation 40 Interpretation: Chapter 10 of Part 2 |
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Regulation 41 Restrictions on transactions with connected persons |
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Chapter 11 Directed Brokerage Services (regs. 42-43) |
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Regulation 42 Rebates of commission |
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Regulation 43 Costs, fees and expenses of directed brokerage services |
