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Directive 2009/65/EC

 

I. General Information

Title

Directive  2009/65/EC on the coordination of laws, regulations and administrative provisions relating to undertakings for collective investment in transferable securities

Abbreviations UCITS IV
Status: Existing
Description

This directive has two objectives. One is to codify the successive changes introduced to UCITS I ( 85/611/EEC) since 1985. The other is to translate the measures announced in the White Paper into concrete legislative provisions.

Directive 2009/65/EC
Source O.J. EC No L (Legislation), Edition 302, Year 2009, p.32
Adoption 07/13/2009
Promulgation 11/17/2009
Character Lamfalussy Framework Act
Implementation   Regulation (EU) Nr. 2016/438
  Regulation (EU) Nr. 583/2010
  Regulation (EU) Nr. 584/2010
  Directive 2010/42/EU
  Directive 2010/43/EU
Legal Basis Art. 47 Abs. 2 EG
Legislative Procedure Mitentscheidungsverfahren
Background White Paper on the single market for investment funds [COM(2006) 686 final]
 

II. Rahmenrechtsakt (Level 1)

 

1. Versions

  2014/91/EU
    07/23/2014 (A)
    08/28/2014 (P)
UCITS IV (Directive 2009/65/EG) amended by

UCITS V ( Details)

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(A) Adoption | (P) Promulgation
 

2. Reformvorhaben

  Proposal
    12/12/2017 (A)
    12/28/2017 (P)

Regulation of the European Parliament and of the Council laying down common rules on securitisation and creating a European framework for simple, transparent and standardised securitisation and amending Directives  2009/65/EC,  2009/138/EC,  2011/61/EU and Regulations  (EC) No 1060/2009 and  (EU) No 648/2012

Amendment Directive 2009/65/EG
  Proposal

Undertakings for Collective Investment in Transferable Securities (UCITS) Product Rules, Liquidity Management, Depositary,  Money Market Funds, Long-term Investments

Amendment Directive 2009/65/EG
  Proposal
    03/12/2018 (A)

Proposal for a DIRECTIVE OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL amending Directive  2009/65/EC of the European Parliament and of the Council and Directive  2011/61/EU of the European Parliament and of the Council with regard to cross-border distribution of collective investment funds

Amendment Directive 2009/65/EG
  Proposal

Proposal for a DIRECTIVE OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL on the issue of covered bonds and covered bond public supervision and amending Directive  2009/65/EC and Directive  2014/59/EU

Amendment Directive 2009/65/EG
(A) Adoption | (P) Promulgation
 

3. Legislative History

07/13/2009 Signature by EP and Council ABl. J/2009 302/32
06/22/2009 Council decision Europäischer Rat, 11126/09 Deutsch
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12/10/2008 Report of the European Parliament - 1st reading A6-0497/2008 Deutsch
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07/16/2008 Proposal KOM(2008) 458 endgültig Deutsch
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4. Legal Impact

Repeal  Directive 85/611/EEC
Repeal  Directive 88/220/EEC
Amendment  Directive 95/26/EC
Amendment  Directive 2000/64/EC
Repeal  Directive 2001/107/EC
Repeal  Directive 2001/108/EC
Amendment  Directive 2004/39/EC
Amendment  Directive 2005/1/EC
Repeal  Directive 2008/18/EC
 

III. Implementing / Legislative Act (Level 2)

 

1. Implementation

  (EU) No 2016/438
    12/17/2015 (A)
    03/24/2016 (P)

Commission Delegated Regulation (EU) 2016/438 of 17 December 2015 supplementing Directive  2009/65/EC of the European Parliament and of the Council with regard to obligations of depositaries

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  (EU) No 583/2010
    07/01/2010 (A)
    07/10/2010 (P)

Commission Regulation  (EU) No 583/2010 of 1 July 2010 implementing Directive  2009/65/EC of the European Parliament and of the Council as regards key investor information and conditions to be met when providing key investor information or the prospectus in a durable medium other than paper or by means of a website

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  (EU) No 584/2010
    07/01/2010 (A)
    07/10/2010 (P)

Commission Regulation  (EU) No 584/2010 of 1 July 2010 implementing Directive  2009/65/EC of the European Parliament and of the Council as regards the form and content of the standard notification letter and UCITS attestation, the use of electronic communication between competent authorities for the purpose of notification, and procedures for on-the-spot verifications and investigations and the exchange of information between competent authorities

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  2010/42/EU
    07/01/2010 (A)
    07/10/2010 (P)

Commission Directive  2010/42/EU of 1 July 2010 implementing Directive  2009/65/EC of the European Parliament and of the Council as regards certain provisions concerning fund mergers, master-feeder structures and notification procedure

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  2010/43/EU
    07/01/2010 (A)
    07/10/2010 (P)

Commission Directive  2010/43/EU of 1 July 2010 implementing Directive  2009/65/EC of the European Parliament and of the Council as regards organisational requirements, conflicts of interest, conduct of business, risk management and content of the agreement between a depositary and a management company

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IV. CESR / ESMA Announcements (Level 3)

02/2012

Q&A - a common definition of European Money Market Funds

ESMA/2012/113  
08/2014

Leitlinien zu börsengehandelten Indexfonds (Exchange-Traded Funds, ETF) und anderen OGAW-Themen

ESMA/2014/937DE  
07/2010

CESR’s Guidelines on Risk Measurement and the Calculation of Global Exposure and Counterparty Risk for UCITS

CESR/10-788  
12/2010

CESR’s template for the Key Investor Information document

CESR/10-1321  
12/2010

CESR’s guide to clear language and layout for the Key Investor Information document

CESR/10-1320  
12/2010

Transition from the Simplified Prospectus to the Key Investor Information document

CESR/10-1319  
12/2010

Selection and presentation of performance scenarios in the Key Investor Information document (KII) for structured UCITS

CESR/10-1318  
07/2010

CESR’s guidelines on the methodology for calculation of the ongoing charges figure in the Key Investor Information Document

CESR/10-674  
07/2010

CESR’s guidelines on the methodology for the calculation of the synthetic risk and reward indicator in the Key Investor Information Document

CESR/10-673  
12/2012

Leitlinien zu börsengehandelten Indexfonds (Exchange-Traded Funds, ETF) und anderen OGAW-Themen

ESMA/2012/832DE  
03/2012

Leitlinien zur Risikomessung und zur Berechnung des Gesamtrisikos für bestimmte Arten strukturierter OGAW

ESMA/2012/197DE  
04/2011

Final Report Guidelines to competent authorities and UCITS management companies on risk measurement and the calculation of global exposure for certain types of structured UCITS

CESR/2011/112  
05/2010

CESR’s Guidelines on a common definition of European money market funds

CESR/10-049  
02/2009

Risk management principles for UCITS

CESR/09-178  
07/2007

CESR’s guidelines concerning eligible assets for investment by UCITS The classification of hedge fund indices as financial indices

CESR/07-434  
03/2007

CESR's guidelines concerning eligible assets for investment by UCITS

CESR/07-044b  
03/2007

CESR's guidelines concerning eligible assets for investment by UCITS

CESR/07-044  
06/2006

CESR’s guidelines to simplify the notification procedure of UCITS

CESR/06-120b  
 

V. Umsetzung in den Mitgliedstaaten

 

1. Implementation in Germany

06/22/2011 (A)
06/25/2011 (P)

 Gesetz zur Umsetzung der Richtlinie 2009/65/EG zur Koordinierung der Rechts- und Verwaltungsvorschriften betreffend bestimmte Organismen für gemeinsame Anlagen in Wertpapieren

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(A) Adoption | (P) Promulgation
Language:
Deutsch Deutsch
English Englisch
Francais Französisch
Chinese Chinesisch

Legende

Hyperlink int./ext. Verlinkung
Externer Link Externer Hyperlink
Status des Rechtsaktes
Aufgehoben Aufgehoben
Vorhaben Vorhaben
Inkraft Inkraft
Unbekannt Unbekannt
Dokumente
Deutsch Deutsche Fassung
Englisch Englische Fassung
Französisch Franz. Fassung
PDF-Datei Sonstige PDF-Datei
Dokument Sonstiges Dokument
Externer Link Externes Dokument

Overview

I. General Information
II. Rahmenrechtsakt (Level 1)
1. Versions
2. Reformvorhaben
3. Legislative History
4. Legal Impact
III. Implementing / Legislative Act (Level 2)
1. Implementation
IV. CESR / ESMA Announcements (Level 3)
V. Umsetzung in den Mitgliedstaaten
1. Implementation in Germany

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