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This guide provides a reminder of how certain aspects of the regulations governing CIS should be applied, such as control procedures, maturity management, side pocket funds, compensation procedures, calculating exposure and overall risk, and information for investors (in relation to mergers and in relation to the guaranteed amount of their investment) as well as the monitoring of ETFs.
Reference texts
- Articles L. 214-3, L. 214-15, L. 214-7-4, L. 214-8-7, L. 214-24-15, L. 214-24-33, L. 214-24-41, L. 214-190-2-1, L.214-190-3-1, R. 214-15, R. 214-32-23, R. 214-15-1, R. 214-16, R. 214-22 and D.214-22-1, D. 214-5, D. 214-32-12, D. 214-32-15, D.214-32-31 of the Monetary and Financial Code (in french only)
- Articles 316-3, 319-13, 321-2, 321-100, 411-6, 411-10, 411-14, 411-20, 411-74, 411-75 à 411-80, 411-9, 422-7, 422-11, 422-15, 422-21, 422-53 to 422-59 of the General Regulation
- Article 44 (3) of Commission Regulation (EU) 2017/565 of 25 April 2016
This guide provides a reminder of how certain aspects of the regulations governing CIS should be applied, such as control procedures, maturity management, side pocket funds, compensation procedures, calculating exposure and overall risk, and information for investors (in relation to mergers and in relation to the guaranteed amount of their investment) as well as the monitoring of ETFs.
Reference texts
- Articles L. 214-3, L. 214-15, L. 214-7-4, L. 214-8-7, L. 214-24-15, L. 214-24-33, L. 214-24-41, L. 214-190-2-1, L.214-190-3-1, R. 214-15, R. 214-32-23, R. 214-15-1, R. 214-16, R. 214-22 and D.214-22-1, D. 214-5, D. 214-32-12, D. 214-32-15, D.214-32-31 of the Monetary and Financial Code (in French only)
- Articles 316-3, 319-13, 321-2, 321-100, 411-6, 411-10, 411-14, 411-20, 411-74, 411-75 à 411-80, 411-9, 422-7, 422-11, 422-15, 422-21, 422-53 to 422-59 of the AMF General Regulation
- Article 44 (3) of Commission Regulation (EU) 2017/565 of 25 April 2016
Reference texts
- Articles L. 214-3, L. 214-15, L. 214-7-4, L. 214-8-7, L. 214-24-15, L. 214-24-33, L. 214-24-41, L. 214-190-2-1, L.214-190-3-1, R. 214-15, R. 214-32-23, R. 214-15-1, R. 214-16, R. 214-22 and D.214-22-1, D. 214-5, D. 214-32-12, D. 214-32-15, D.214-32-31 of the Monetary and Financial Code (in French only)
- Articles 316-3, 319-13, 321-2, 321-100, 411-6, 411-10, 411-14, 411-20, 411-74, 411-75 à 411-80, 411-9, 422-7, 422-11, 422-15, 422-21, 422-53 to 422-59 of the AMF General Regulation
- Article 44 (3) of Commission Regulation (EU) 2017/565 of 25 April 2016
Reference texts
- Articles L. 214-3, L. 214-15, L. 214-7-4, L. 214-24-15, R. 214-15, R. 214-32-23, R. 214-15-1, R. 214-16, R. 214-22 and D.214-22-1, D. 214-5, D. 214-32-12, D. 214-32-15, D.214-32-31 of the Monetary and Financial Code (in French only)
- Articles 316-3, 319-13, 321-2, 321-100, 411-6, 411-10, 411-14, 411-20, 411-74, 411-75 à 411-80, 411-9, 422-7, 422-11, 422-15, 422-21, 422-53 to 422-59 of the AMF General Regulation
- Article 44 (3) of Commission Regulation (EU) 2017/565 of 25 April 2016
Reference texts
- Articles L. 214-3, L. 214-15, L. 214-7-4, L. 214-24-15, R. 214-15, R. 214-32-23, R. 214-15-1, R. 214-16, R. 214-22 and D.214-22-1, D. 214-5, D. 214-32-12, D. 214-32-15, D.214-32-31 of the Monetary and Financial Code (in French only)
- Articles 311-1, 314-3, 314-12, 316-3, 319-13, 411-6, 411-10, 411-14, 411-20, 411-74, 411-75, 411-76, 411-77, 411-78, 411-79, 411-80, 411-9, 422-7, 422-11, 422-15, 422-21, 422-53, 422-54, 422-55, 422-56, 422-57, 422-58 and 422-59 of the AMF General Regulation
This guide provides a reminder of how certain aspects of the regulations governing CIS should be applied, such as control procedures, maturity management, side pocket funds, compensation procedures, calculating exposure and overall risk, and information for investors (in relation to mergers and in relation to the guaranteed amount of their investment).
Reference texts
- Articles L. 214-3, L. 214-15, L. 214-7-4, L. 214-24-15, R. 214-15, R. 214-32-23, R. 214-15-1, R. 214-16, R. 214-22 and D.214-22-1, D. 214-5, D. 214-32-12, D. 214-32-15, D.214-32-31 of the Monetary and Financial Code (in French only)
- Articles 311-1, 314-3, 314-12, 316-3, 319-13, 411-6, 411-10, 411-14, 411-20, 411-74, 411-75, 411-76, 411-77, 411-78, 411-79, 411-80, 411-9, 422-7, 422-11, 422-15, 422-21, 422-53, 422-54, 422-55, 422-56, 422-57, 422-58 and 422-59 of the AMF General Regulation
This guide provides a reminder of how certain aspects of the regulations governing CIS should be applied, such as control procedures, maturity management, side pocket funds, compensation procedures, calculating exposure and overall risk, and information for investors (in relation to mergers and in relation to the guaranteed amount of their investment).
Reference texts
- Articles L. 214-3, L. 214-15, L. 214-7-4, L. 214-24-15, R. 214-15, R. 214-32-23, R. 214-15-1, R. 214-16, R. 214-22 and D.214-22-1, D. 214-5, D. 214-32-12, D. 214-32-15, D.214-32-31 of the Monetary and Financial Code (in French only)
- Articles 411-74 to 411-80 of the General Regulation
- Articles 422-53 to 422-59 of General Regulation
- Article 311-1 of the General Regulation
- Article 314-3 of the General Regulation
- Article 314-12 of the General Regulation
- Article 316-3 of the General Regulation
- Article 319-13 of the General Regulation
- Article 411-6 of the General Regulation
- Article 411-10 of the General Regulation
- Article 411-14 of the General Regulation
- Article 411-20 of the General Regulation
- Article 411-9 of the General Regulation
- Article 422-7 of the General Regulation
- Article 422-11 of the General Regulation
- Article 422-15 of the General Regulation
- Article 422-21 of the General Regulation
This guide provides a reminder of how certain aspects of the regulations governing CIS should be applied, such as control procedures, maturity management, side pocket funds, compensation procedures, calculating exposure and overall risk, and information for investors (in relation to mergers and in relation to the guaranteed amount of their investment).
Reference texts
- ArtIcles L.214-3, L.214-15, L.214-7-4, R.214-24-15, R.214-15, R.214-32-23, R 214-15-1, R.214-16, R.214-22, D.214-22-1, D.214-5, D.214-32-12, D.214-32-15 et D.214-32-31 of the Monetary and Financial Code (in French only)
- Articles 411-74 to 411-80 of the General Regulation
- Article 311-1 of the General Regulation
- Article 314-3 of the General Regulation
- Article 314-12 of the General Regulation
- Article 411-10 of the General Regulation
- Article 411-14 of the General Regulation
- Article 411-20 of the General Regulation
- Article 411-9 of the General Regulation
Head of publications: The Executive Director of AMF Communication Directorate. Contact: Communication Directorate – Autorité des marches financiers 17 place de la Bourse – 75082 Paris cedex 02