◷
New version applies from 30/07/2010.
80 provisions change.
Later versions: 01/08/2022.
Commission Directive 2010/43/EU
30/07/2010 → 01/08/2022: 1 inserted · 0 removed · 42 amended · 0 moved · 0 renamed · 38 unchanged
Position-only shifts inside the same heading are not changes. Amended = the printed text changed.
Preamble
Preamble · 1 unchanged
Recitals
Recitals · 31 unchanged
Recital 1 · Recital 2 · Recital 3 · Recital 4 · Recital 5 · Recital 6 · Recital 7 · Recital 8 · Recital 9 · Recital 10 · Recital 11 · Recital 12 · Recital 13 · Recital 14 · Recital 15 · Recital 16 · Recital 17 · Recital 18 · Recital 19 · Recital 20 · Recital 21 · Recital 22 · Recital 23 · Recital 24 · Recital 25 · Recital 26 · Recital 27 · Recital 28 · Recital 29 · Recital 30 · Recital 31
Chapter I - SUBJECT-MATTER, SCOPE AND DEFINITIONS
- amended Article 1 - Subject matter Chapter I
- amended Article 2 - Scope Chapter I
- amended Article 3 - Definitions Chapter I
Chapter II - ADMINISTRATIVE PROCEDURES AND CONTROL MECHANISM (Article 12(1)(a) and Article 14(1)(c) of Directive 2009/65/EC)
- amended Article 4 - General requirements on procedures and organisation Chapter II › Section 1
- amended Article 5 - Resources Chapter II › Section 1
- inserted Article 5a - Obligation for investment companies to integrate sustainability risks in the management of UCITS Chapter II › Section 1
- amended Article 6 - Complaints handling Chapter II › Section 2
- amended Article 7 - Electronic data processing Chapter II › Section 2
- amended Article 8 - Accounting procedures Chapter II › Section 2
- amended Article 9 - Control by senior management and supervisory function Chapter II › Section 3
- amended Article 10 - Permanent compliance function Chapter II › Section 3
- amended Article 11 - Permanent internal audit function Chapter II › Section 3
- amended Article 12 - Permanent risk management function Chapter II › Section 3
- amended Article 13 - Personal transactions Chapter II › Section 3
- amended Article 14 - Recording of portfolio transactions Chapter II › Section 3
- amended Article 15 - Recording of subscription and redemption orders Chapter II › Section 3
- amended Article 16 - Recordkeeping requirements Chapter II › Section 3
Chapter III - CONFLICT OF INTERESTS (Article 12(1)(b) and Article 14(1)(d) and (2)(c) of Directive 2009/65/EC)
- amended Article 17 - Criteria for the identification of conflicts of interest Chapter III
- amended Article 18 - Conflicts of interest policy Chapter III
- amended Article 19 - Independence in conflicts management Chapter III
- amended Article 20 - Management of activities giving rise to detrimental conflict of interest Chapter III
- amended Article 21 - Strategies for the exercise of voting rights Chapter III
Chapter IV - RULES OF CONDUCT (Article 14(1)(a), (b) and (2)(a), (b) of Directive 2009/65/EC)
- amended Article 22 - Duty to act in the best interests of UCITS and their unit-holders Chapter IV › Section 1
- amended Article 23 - Due diligence requirements Chapter IV › Section 1
- amended Article 24 - Reporting obligations in respect of execution of subscription and redemption orders Chapter IV › Section 2
- amended Article 25 - Execution of decisions to deal on behalf of the managed UCITS Chapter IV › Section 3
- amended Article 26 - Placing orders to deal on behalf of UCITS with other entities for execution Chapter IV › Section 3
- amended Article 27 - General principles Chapter IV › Section 4
- amended Article 28 - Aggregation and allocation of trading orders Chapter IV › Section 4
- amended Article 29 - Safeguarding the best interests of UCITS Chapter IV › Section 5
Chapter V - PARTICULARS OF THE STANDARD AGREEMENT BETWEEN A DEPOSITARY AND A MANAGEMENT COMPANY (Article 23(5) and Article 33(5) of Directive 2009/65/EC)
- amended Article 30 - Elements related to the procedures to be followed by the parties to the agreement Chapter V
- amended Article 31 - Elements related to the exchange of information and to obligations on confidentiality and money-laundering Chapter V
- amended Article 32 - Elements related to the appointment of third parties Chapter V
- amended Article 33 - Elements related to potential amendments and the termination of the agreement Chapter V
Chapter V · 4 unchanged
Chapter VI - RISK MANAGEMENT (Article 51(1) of Directive 2009/65/EC)
- amended Article 38 - Risk management policy Chapter VI › Section 1
- amended Article 39 - Assessment, monitoring and review of risk management policy Chapter VI › Section 1
- amended Article 40 - Measurement and management of risk Chapter VI › Section 2
- amended Article 41 - Calculation of global exposure Chapter VI › Section 2
- amended Article 42 - Commitment approach Chapter VI › Section 2
- amended Article 43 - Counterparty risk and issuer concentration Chapter VI › Section 2
- amended Article 44 - Procedures for the assessment of the value of OTC derivatives Chapter VI › Section 3
- amended Article 45 - Reports on derivative instruments Chapter VI › Section 4
Chapter VII - FINAL PROVISIONS
- amended Article 46 - Transposition Chapter VII