European Commission 17 December 2015, 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 (Text with EEA relevance)

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European Union · · · Cited by 58 · 17-12-2015

CHAPTER 1. DEFINITIONS AND DETAILS OF THE WRITTEN CONTRACT
Article 1. Definitions
Article 2. Contract for the appointment of a depositary
CHAPTER 2. DEPOSITARY FUNCTIONS, DUE DILIGENCE DUTIES, SEGREGATION OBLIGATION AND INSOLVENCY PROTECTION
Article 3. Oversight duties — general requirements
Article 4. Duties regarding subscription and redemptions
Article 5. Duties regarding the valuation of units
Article 6. Duties regarding the carrying out of the UCITS' instructions
Article 7. Duties regarding the timely settlement of transactions
Article 8. Duties related to the UCITS' income calculation and distribution
Article 9. Cash monitoring — general requirements
Article 10. Monitoring of the UCITS' cash flows
Article 11. Duties regarding payments upon the subscriptions
Article 12. Financial instruments to be held in custody
Article 13. Safekeeping duties with regard to assets held in custody
Article 14. Safekeeping duties regarding ownership verification and record keeping
Article 15. Due diligence
Article 16. Segregation obligation
Article 17. Insolvency protection of UCITS assets when delegating custody functions
CHAPTER 3. LOSS OF FINANCIAL INSTRUMENTS AND LIABILITY DISCHARGE
Article 18. Loss of a financial instrument held in custody
Article 19. Liability discharge
CHAPTER 4. INDEPENDENCE REQUIREMENTS AND FINAL PROVISIONS
Article 20. Management body
Article 21. Common management
Article 22. Appointment of depositary and delegation of safekeeping
Article 23. Conflicts of interest
Article 24. Independence of management boards and supervisory functions
Article 25. Entry into force and application

24.3.2016

Official Journal of the European Union

L 78/11

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

(Text with EEA relevance)

THE EUROPEAN COMMISSION,

Having regard to the Treaty on the Functioning of the European Union,

Having

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