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III - Providers
III. 1 - Investment services providers
III. 1.1. Authorisation / Programme of operations / Passport
Programme of operations guide for asset management companies and self-managed collective investments
  • Applicable from 24 January 2019
  • Position - Recommendation DOC-2012-19

Programme of operations guide for asset management companies and self-managed collective investments

Document

Summary

The position-recommandation DOC-2012-19 outlines how to complete the sections of the autorization application (including the program of operations) and complementary sheets. In particular it provides specific instructions on the "four eyes" (quatre yeux) rule, access to (information on) the position of the market member, the credit analysis, delegation and outsourcing, the practice of cash pooling (centralised treasury management authorised provided that certain conditions are met) as well as on internal control procedures.

Reference texts