SIF REGISTERED AIFM – SEPTEMBER
GOVERNANCE | REGULATORY | AML/CFT | AUDITOR
GOVERNANCE
Annual review of the data protection policy, security measures, GDPR registry of processing.
REGULATORY
BLC reporting:
Circular BCL 2014/237 and Circular BCL 14/588
Information regarding each compartment of the fund
non- MMF:
monthly statistical report composed of:
I. S 1.6 «Information on valuation effects on the balance sheet of non-MMF investment funds». This report shall be submitted 20 days from the end of the month it refers to
II. Monthly security-by-security report of investment funds.
a) The balance sheet line
b) The identification code of the security
c) The identification of the issuer
d) The type of holding of securities
e) The quantity of securities
f) Supplementary information for securities not identified by an ISIN code.
This report shall be submitted 20 days as from the end of the month it refers to.
MMF investment funds
I. S 1.3 «Monthly statistical balance sheet for money market funds»
This report shall be submitted 10 days as from the end of the month it refers to. Same content as the quarterly report for non-MMF.
II. Monthly Security by security report of investment funds. This report shall be submitted 10 days as from the end of the month it refers to. Same content as the non -MMF security by security report.
Financial information to the CSSF via CCLux:
Circular 07/310 and Circular 15/627
Information transmitted by the central administration of the SIF.
Monthly information: the reference will be the last day of every month (for SIFS that compute their net asset value at least on a weekly basis. For this latter category of SIFs, the reference date can be that of the last calculation day of the monthly net asset value.
The SIF have 10 days from the end of the period to submit their report. The SIF must submit a separate report for each compartment. The reports do not need to be consolidated.
Financial information to the CSSF via CCLux:
Circular 07/310 and Circular 15/627
Information transmitted by the central administration of the SIF.
Monthly information: the reference will be the last day of every month (for SIFS that compute their net asset value at least on a weekly basis. For this latter category of SIFs, the reference date can be that of the last calculation day of the monthly net asset value.
Monthly information includes, inter alia:
I. General information on the report and the sender
II. General information on the UCI
III. Financial information on the UCI in the base currency of the UCI
IV. General information on the unit/share class
V. Financial information on the unit/share class for the reference month
VI. Information on investment income and expenses for the reference month in the base currency of the UCI (To replicate)
The SIF have 10 days from the end of the period to submit their report. The SIF must submit a separate report for each compartment. The reports do not need to be consolidated.