draft rts disclosure regulation

1.1. The disclosures regulation was adopted by co-legislators in spring 2019 and was published on 9 December 2019 in the Official Journal. Dissemination, filing and storage of regulated information, I. The AMF provides a number of key insights on the consultation of the European Supervisory Authorities (ESAs) on the draft RTS related to the Disclosure Regulation. vCardvCard, Financial Services and Investment Management(more), angelo.lercara@dechert.com Email The draft regulatory technical standards (RTS) set out detailed information relating to the content, methodology and presentation of certain environmental, social, and governance (ESG) disclosures required under the EU Regulation (EU) 2019/2088 on sustainability-related disclosures in the financial services sector (the Sustainable Finance Disclosure Regulation or SFDR 1). The reason is that investment decisions and financial advice might cause, contribute to or be directly linked to negative material effects on environment and society, regardless of whether the investment strategy pursue a sustainable objective or not, such as investments in assets that pollute water or devastate bio-diversity, to ensure the sustainability of investments. The proposal was adopted as part of the sustainable finance package. 1.2. The European Commission followed through on this action in May 2018 with a proposal for a regulation on disclosures relating to sustainable investments and sustainability risks and amending Directive (EU) 2016/2341. Legal entities managing certain Other AIFs, III. These RTS are required under the EU Regulation on sustainability-related disclosures in the financial services sector (the Disclosure Regulation) (which we introduced in our briefing here). whether financial market participants and financial advisers consider negative externalities on environment and social justice of the investment decisions/advice and, if so, how this is reflected at the product level. 4.4. Article 7(3) of the Securitisation Regulation directs ESMA to develop draft RTS and Implementing Technical Standards (“ITS”) to specify the information that the reporting entity shall provide in order to comply with their reporting obligations. 1.1.3. 4.1. 1.3. 1.2. 1.5. vCardvCard, philippa.list@dechert.com Email Specific provisions applicable to employee investment undertakings, II. In addition, the CP contains proposals under the recently agreed regulation on the establishment of a framework to facilitate sustainable investment (the Taxonomy Regulation5). The Taxonomy Regulation at Article 25 amends the SFDR by including a new Article 2(a) which sets out in more detail how to achieve… Continue Reading, arne.bolch@dechert.com Email vCardvCard, simon.wright@dechert.com Email The consultation is open until September 1st. Action 7 of the action plan calls for clarifying institutional investors’ and asset managers’ duties. Relationships with the statutory auditors, I. 5.6. 1 - Collective investment schemes (CISs), II. I. DOC-2012-05 General meetings of shareholders of listed companies, DOC-2015-09 Communication by companies aimed at promoting their securities to individual investors, DOC-2015-10 Communication by companies on fees associated with holding securities in pure registered form, DOC-2010-03 AMF Q&A pertaining to the transfer of a listed company from Alternext to Euronext, DOC-2012-02 Corporate governance and executive compensation in companies referring to the AFEP-MEDEF code - Consolidated presentation of the recommendations contained in the AMF annual reports, DOC-2010-15 AMF supplementary report on corporate governance, executive compensation and internal control – Mid-caps and small-caps governed by the Middlenext corporate governance code of December 2009, DOC-2010-16 Reference framework for risk management and internal control systems, DOC-2007-03 Electronical filing to the AMF of regulated information, DOC-2018-06 Table des matieres recommandations d'arrêté des comptes applicables au 1er janvier 2018 (in French only), DOC-2010-25 Relationships between statutory auditors and the AMF, DOC-2019-06 Procedure for examination of the application and establishment of an information document for approval by the AMF on an initial coin offering, DOC-2018-07 Informations à founir aux investisseurs dans le cadre d'une offre ouverte au public d'un montant inférieur à 8 millions d'euros, DOC-2009-16 Guide d'élaboration des documents de référence, DOC-2006-15 Fairness opinion in the context of corporate finance transactions, DOC-2004-02 Advertising campaigns for public disclosure of standstill commitments to hold shares entered into under the Dutreil Act, DOC-2008-02 Major shareholding notification and letter of intent, DOC-2010-02 Transparency and procedure for the orderly acquisition of debt securities that do not give access to capital, DOC-2017-03 Modalités de déclaration des opérations réalisées dans le cadre des interventions des émetteurs cotés sur leurs propres titres et des mesures de stabilisation, DOC-2017-04 Guide relatif aux interventions des émetteurs cotés sur leurs propres titres et aux mesures de stabilisation, DOC-2015-05 Major Asset Disposals and Acquisitions, DOC-2020-08 Requirements for liquidity stress testing in UCITS and AIFs, DOC-2018-05 Requirements for stress test scenarios under article 28 of the european money market fund regulation, DOC-2020-03 Information to be provided by collective investment schemes incorporating non-financial approaches, DOC-2011-05 A guide to regulatory documents governing collective investment undertakings, DOC-2011-24 A guide to drafting collective investment marketing materials and distributing collective investments, DOC-2011-25 A guide to the monitoring of collective investment undertakings, DOC-2008-14 Fund performance swaps and actively managed investment structures, DOC-2011-15 Calculation of global exposure for authorised UCITS and AIFs, DOC-2007-19 Extra-financial criteria for securities selection and application of these criteria to funds declaring themselves compliant with Islamic law, DOC-2012-15 Criteria applicable to "philanthropic" collective investments, DOC-2017-05 Conditions for setting up redemption gate mechanisms, DOC-2011-19 Authorisation procedures, preparation of a KIID and a prospectus and periodic reporting for French and foreign UCITS marketed in France, DOC-2014-09 Methods for meeting requirements to report to the AMF under the AIFM directive, DOC-2013-16 Key concepts of the Alternative Investment Fund Managers Directive, DOC-2011-20 Authorisation processes, preparation of a KIID and a prospectus and periodic reporting for retail investment funds, funds of alternative funds and professional retail investment funds, DOC-2019-04 Real estate investment companies, Forestry investment companies and Forestry groups, DOC-2011-23 Authorisation and establishment processes for a KIID and a prospectus and periodic information for real estate collective investment undertakings and professional real estate collective investment undertakings, DOC-2011-22 Authorisation procedures, preparation of a KIID and rules, and reporting for private equity funds, DOC-2012-11 Guide for retail and professional private equity funds, DOC-2012-06 Procedures for making disclosures and introducing changes, preparation of a prospectus and reporting for specialised professional funds and professional private equity funds, DOC-2005-14 Q&A on professional specialised investment funds, DOC-2006-18 Calculation period for the net asset values of funds of alternative funds and retail investment funds, DOC-2011-21 Authorisation procedures, preparation of a KIID and a prospectus, and reporting for employee investment undertakings, DOC-2012-10 Guide relating to employee investment undertakings, DOC-2011-08 Q&A on foreign exchange trading, DOC-2017-01 Questions and answers – Prohibition of marketing communications with regard to the provision of investment services on certain financial derivatives, DOC-2016-02 Organisation of asset management companies for managing loan-granting AIFs, DOC-2008-23 Questions and answers on the concept of investment service of investment advice, DOC-2014-01 Programme of activity of investment services providers and information provided to the AMF, DOC-2012-08 Placement services and marketing of financial instruments, DOC-2012-19 Programme of operations guide for asset management companies and self-managed collective investments, DOC-2018-08 Joint guidelines of the European banking authority (EBA) and the European securities and markets authority (ESMA) on the assessment of the suitability of members of the management body and key function holders (eba/gl/2017/12), DOC-2013-22 Frequently asked questions on the transposition of the AIFM Directive into French law, DOC-2009-24 Q&A on changes in the ownership structure of asset management companies, DOC-2017-10 Prudential assessment of acquisitions and increases of qualifying holdings in the financial sector, DOC-2008-03 Authorisation procedure for investment management companies, disclosure obligations and passporting, DOC-2008-15 Funds of hedge funds management in France, DOC-2009-29 Questions-Réponses sur le dispositif de vérification du niveau de connaissances minimales des acteurs de marché, DOC-2014-06 Guide to the organisation of the risk management system within asset management companies, DOC-2012-01 Risk management organisation for collective investment undertaking management activities and discretionary portfolio management investment services, DOC-2006-09 Examination for the issuance of professional licences to compliance and internal control officers and investment services compliance officers, DOC-2012-17 Compliance function requirements, DOC-2007-24 Q&A on the organisational rules of investment services providers, DOC-2019-12 Professional obligations of investment services providers to retail clients with regard to third-party portfolio management, DOC-2013-10 Rémunérations et avantages reçus dans le cadre de la commercialisation et de la gestion sous mandat d'instruments financiers, DOC-2019-03 MIFID II suitability requirements, DOC-2008-04 Application of business conduct rules to marketing of units or shares in UCITS or AIFs by asset management companies, management companies or managers, DOC-2007-02 Investment decision and order execution support services, DOC-2017-07 Future performance simulations, DOC-2016-14 Sound remuneration policies under the UCITS Directive, DOC-2005-19 Exercising voting rights for asset management companies, DOC-2013-11 Remuneration policies for alternative investment fund managers, DOC-2007-25 Q&A on the rules of conduct applicable to investment services providers, DOC-2013-09 The exemption for market making activities and primary market operations under Regulation (EU) 236/2012, DOC-2008-05 Reporting suspicious transactions, DOC-2005-09 Discretionary portfolio management certificate, DOC-2016-01 Authorisation procedure for investment firms acting as a UCITS depositary – Review procedure for the performance specifications of other UCITS and AIF depositaries, DOC-2007-12 Production of independent research for large scale securities offerings intended for retail investors, DOC-2013-21 Registration arrangements for legal entities, other than portfolio management companies, managing certain Other AIF, DOC-2020-07 Questions & answers on the digital asset service providers regime, DOC-2019-23 Rules applicable to digital asset service providers, DOC-2019-24 Digital assets service providers - Cybersecurity system of requirements (version 1.0), DOC-2019-17 Guidelines on the concept of politically exposed persons, DOC-2019-18 Guidelines on the obligation to report to TRACFIN, DOC-2019-16 Guidelines on due diligence obligations with respect to clients and their beneficial owners, DOC-2019-15 Guidance on the risk-based approach to combating money laundering and terrorist financing, DOC-2014-12 Information to be provided to investors by the issuer and crowdfunding investment adviser or investment services provider within the framework of crowdfunding, DOC-2014-10 Placing without a firm commitment basis and crowdfunding, DOC-2014-11 Description of the AMF review process of registration applications by crowdfunding investment advisers and the transmission of annual disclosures by said advisers, DOC-2018-02 Marketing of crowdfunding offers, calculation of default rates and run-off management of platforms, DOC-2020-04 Requirements applicable to professional associations of financial investment advisors, DOC-2013-07 Requirements relating to the professional competence of financial investment advisers, the updating of their knowledge, and reporting to the AMF on their activity and that of associations, DOC-2006-23 Questions and answers on the rules that apply to financial investment advisers, DOC-2018-04 Guidelines on MIFID II product governance requirements, DOC-2018-03 Placing of financial instruments without a firm commitment basis, investment advice and consultancy services provided to firms in relation to capital structure, industrial strategy and mergers and acquisitions, DOC-2017-08 Position/Recommendation supplementing Position 2013-02 on collecting know-your-client information, DOC-2013-02 Collecting 'know-your-client' information, DOC-2017-06 Procedure for preparing and registering an information document that must be filed with the AMF by intermediaries in miscellaneous assets, DOC-2010-05 Marketing of complex financial instruments, DOC-2013-12 Requirement to offer a guarantee (of the formula and/or capital, as appropriate) for structured UCITS and AIFs, "guaranteed" UCITS and AIFs and structured debt securities issued by special purpose entities and marketed to the general public, DOC-2014-02 Disclosure to investors in unauthorised or undeclared AIFs, DOC-2014-04 Guide to UCITS, AIF and other investment fund marketing regimes in France, DOC-2014-03 Procedure for marketing units or shares of AIFs, DOC-2013-13 Guide pour la rédaction des documents commerciaux dans le cadre de la commercialisation des titres de créance structurés, DOC-2020-02 Clarifications regarding the notion of trading venue, applicable in particular to financial instruments registered in a distributed ledger, DOC-2017-12 Position limits for commodity derivatives traded on Euronext, DOC-2009-07 On the file to be submitted to the AMF by a CSD or a SSS manager, within the framework of the prior approval application to the AMF for allowing an institution to open an account with the CSD or take part in the securities settlement system, DOC-2019-05 Procedure of recognition of foreign exchanges, DOC-2013-14 Scope of the regulation on credit rating agencies, DOC-2017-02 Persons receiving market soundings, Book I - The Autorité des marchés financiers, Book II - Issuers and financial disclosure, Book VI - Market abuse: Insider dealing and market manipulation, Book VII - Token issuers and digital assets services providers, Promote the attractiveness of the Paris financial centre, Climate and Sustainable Finance Commission, Financial disclosures & corporate financing.

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