OpenLegislation

Article 13 Transparency of collective investment undertakings in periodical reports

United Kingdom

Original text. Later amendments are not shown.

1.

UCITS management companies, UCITS investment companies, and AIFMs shall inform investors on the use they make of SFTs and total return swaps in the following manner:

(a)

for UCITS management companies or UCITS investment companies in the half-yearly and annual reports referred to in F1section 4.5.3 of the Collective Investment Schemes sourcebook;

(b)

for AIFMs in the annual report referred to in F2section 3.3 of the Investment Funds sourcebook.

2.

The information on SFTs and total return swaps shall include the data provided for in Section A of the Annex.

3.

In order to ensure uniform disclosure of data but also to take account of the specificities of different types of SFTs and total return swaps, F3the FCA may, taking into account the requirements laid down in F4the UK law in relation to collective investment undertakings as well as evolving market practices, F5make technical standards further specifying the content of Section A of the Annex.

F6...

Annotations

Textual amendments

F1

Words in Art. 13(1)(a) substituted (31.12.2020) by The Transparency of Securities Financing Transactions and of Reuse (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/542), regs. 1, 16(a)(i) (with savings in S.I. 2019/680, reg. 11); 2020 c. 1, Sch. 5 para. 1(1)

F2

Words in Art. 13(1)(b) substituted (31.12.2020) by The Transparency of Securities Financing Transactions and of Reuse (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/542), regs. 1, 16(a)(ii) (with savings in S.I. 2019/680, reg. 11); 2020 c. 1, Sch. 5 para. 1(1)

F3

Words in Arts. 4-20 substituted (31.12.2020) by The Transparency of Securities Financing Transactions and of Reuse (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/542), regs. 1, 5(2) (with savings in S.I. 2019/680, reg. 11); 2020 c. 1, Sch. 5 para. 1(1)

F4

Words in Art. 13(3) substituted (31.12.2020) by The Transparency of Securities Financing Transactions and of Reuse (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/542), regs. 1, 16(b)(i)(aa) (with savings in S.I. 2019/680, reg. 11); 2020 c. 1, Sch. 5 para. 1(1)

F5

Word in Art. 13(3) substituted (31.12.2020) by The Transparency of Securities Financing Transactions and of Reuse (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/542), regs. 1, 16(b)(i)(bb) (with savings in S.I. 2019/680, reg. 11); 2020 c. 1, Sch. 5 para. 1(1)

F6

Words in Art. 13(3) omitted (31.12.2020) by virtue of The Transparency of Securities Financing Transactions and of Reuse (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/542), regs. 1, 16(b)(ii) (with savings in S.I. 2019/680, reg. 11); 2020 c. 1, Sch. 5 para. 1(1)