October 05, 2017

ESMA published updated question and answer (Q&A) documents on the application of the Undertakings for the Collective Investment in Transferable Securities Directive (UCITS) and the Alternative Investment Fund Managers Directive (AIFMD).

The UCITS Q&A update includes one new Q&A on periodic reporting under Article 13 of Securities Financing Transaction Regulation (SFTR) for UCITS and alternative investment funds (AIFs) to investors on the use of securities financing transactions (SFTs) and total return swaps. The AIFMD Q&A includes three new updates on:

  • Application of remuneration disclosure requirements to staff of the delegate of an AIFM, to whom portfolio management or risk management activities have been delegated
  • Manner of disclosure of AIFM delegates’ staff remuneration in annual reports
  • Periodic reporting under Article 13 of SFTR for UCITS and AIFs to investors on the use of SFTs and total return swaps

The Q&A documents are intended to promote common supervisory approaches and practices of both the AIFMD and the UCITS Directive and their implementing measures.

 

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Keywords: Europe, EU, Securities, AIFMD, UCITS, SFTR, Q&A, ESMA

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