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 法律指令 2013/14/EU

I. 描述

An effect of the financial crisis has been that there is over-reliance by investors, including IORPs, UCITS, and AIFs, on credit ratings to carry out their investments in debt instruments, without necessarily conducting their own assessments of the creditworthiness of issuers of such debt instruments. In order to improve the quality of the investments  made by IORPs, UCITS and AIFs and, therefore, to protect investors in those funds, it is appropriate to require IORPs, management and investment companies with regard to UCITS, and AIFMs to avoid relying solely or mechanistically on credit ratings or using them as the only parameter when assessing the risk involved in the investments  made by IORPs, UCITS and AIFs.

The general principle against over-reliance on credit ratings should therefore be integrated into the risk-management processes and systems of IORPs, management and investment companies with regard to UCITS, and AIFMs, and adapted to their specificities.

II. 基本信息

标题

Directive 2013/14/EU of the European Parliament and of the Council of 21 May 2013 amending Directive 2003/41/EC on the activities and supervision of institutions for occupational retirement provision,  Directive 2009/65/EC on the coordination of laws, regulations and administrative provisions relating to undertakings for collective investment in transferable securities (UCITS) and Directive   2011/61/EU on Alternative Investment Funds Managers in respect of over-reliance on credit ratings

状态
现存
法律指令
2013/14/EU
官方. 版本
公告. EU 号. L (Legislation), 公布 145, 年 2013, S.1
日期
2013/05/21
公告
2013/05/31
法案
普通的法律法案
法律基础
Art. 51 Abs. 1 AEUV
法的实施
Codecision procedure

III. 文本和产生历史

1. 文本

Titel
Allg. Daten
Textfassung

原始.版本 :
Directive 2013/14/EU of the European Parliament and of the Council of 21 May 2013 amending Directive 2003/41/EC on the activities and supervision of institutions for occupational retirement provision,  Directive 2009/65/EC on the coordination of laws, regulations and administrative provisions relating to undertakings for collective investment in transferable securities (UCITS) and Directive   2011/61/EU on Alternative Investment Funds Managers in respect of over-reliance on credit ratings

  2013/14/EU

Beschluss:
2013/05/21 (D)
Verkuendung:
2013/05/31 (V)
(D) 日期 | (V)公布

2. 影响

Auswirkungstyp
Richtlinie
Textfassungen
修改
  法律指令 2011/61/EU
修改
  法律指令 2009/65/EC
修改
  法律指令 2003/41/EC

IV. Umsetzung in den Mitgliedstaaten

1. 在德国的实施

2014/12/10 (B)

2014/12/18 (V)

(B) 决定 | (V) 公告

Legend

Legislative Act Status

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目录

I. 描述
II. 基本信息
III. 文本和产生历史
1. 文本
2. 影响
IV. Umsetzung in den Mitgliedstaaten
1. 在德国的实施