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Cette circulaire vise à clarifier les procédures pratiques et techniques que doivent suivre les UCITS pour le marketing transfrontalier.
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How to fill out cssf circular 11509
How to fill out CSSF CIRCULAR 11/509
01
Download the CSSF CIRCULAR 11/509 document from the CSSF website.
02
Read the introduction section to understand the purpose of the circular.
03
Identify the applicable requirements that pertain to your organization.
04
Gather relevant documentation and data that demonstrate compliance with the requirements.
05
Fill out the required forms and sections as outlined in the circular.
06
Ensure all information is accurate and complete before submission.
07
Submit the filled-out circular to CSSF either electronically or via the prescribed method.
Who needs CSSF CIRCULAR 11/509?
01
Financial institutions operating in Luxembourg.
02
Investment firms that are governed by CSSF.
03
Any entity that is subject to compliance with regulatory guidelines set by CSSF.
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People Also Ask about
What is CSSF Circular 18 698 of 23 August 2018?
Circular 18/698 was published on 23 August 2018 and applies to all managers established in Luxembourg. The CSSF has clarified its expectation on the oversight of fund distribution channels which are founded on the latest EU anti-money laundering (AML) and terrorist financing controls directives.
What is the legal reporting of CSSF?
The legal reporting for investment firms encompasses all the periodic information that supervised entities are required to submit to the CSSF on a monthly, quarterly, half-yearly or annual basis, in ance with the applicable legal or prudential requirements.
What is the CSSF 20 05 regulation?
CSSF Regulation N°20-05 provides that professionals may now accept a customer presenting a low risk of ML-TF on the basis of an automated acceptance process which does not involve the intervention of a natural person at the level of the professional, provided that such process has previously been duly configured and
What is the CSSF 20 05 regulation?
CSSF Regulation N°20-05 provides that professionals may now accept a customer presenting a low risk of ML-TF on the basis of an automated acceptance process which does not involve the intervention of a natural person at the level of the professional, provided that such process has previously been duly configured and
What is the legal reporting of CSSF?
The legal reporting for investment firms encompasses all the periodic information that supervised entities are required to submit to the CSSF on a monthly, quarterly, half-yearly or annual basis, in ance with the applicable legal or prudential requirements.
What countries are designated by CSSF Circular 20 738?
The following jurisdictions have strategic AML/CFT deficiencies for which they have developed an action plan with the FATF to address these deficiencies: Albania, Bahamas, Barbados, Botswana, Cambodia, Ghana, Iceland, Jamaica, Mauritius, Mongolia, Myanmar, Nicaragua, Pakistan, Panama, Syria, Uganda, Yemen and Zimbabwe.
What countries are designated by CSSF Circular 20 738?
The following jurisdictions have strategic AML/CFT deficiencies for which they have developed an action plan with the FATF to address these deficiencies: Albania, Bahamas, Barbados, Botswana, Cambodia, Ghana, Iceland, Jamaica, Mauritius, Mongolia, Myanmar, Nicaragua, Pakistan, Panama, Syria, Uganda, Yemen and Zimbabwe.
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What is CSSF CIRCULAR 11/509?
CSSF Circular 11/509 is a regulatory framework issued by the Commission de Surveillance du Secteur Financier (CSSF) in Luxembourg, which provides guidance on the governance and risk management practices for investment funds.
Who is required to file CSSF CIRCULAR 11/509?
Entities managing investment funds, including management companies and alternative investment fund managers (AIFMs) in Luxembourg, are required to file CSSF Circular 11/509.
How to fill out CSSF CIRCULAR 11/509?
To fill out CSSF Circular 11/509, entities should follow the instructions provided in the circular, ensuring they provide accurate data regarding their governance structure, risk management processes, and compliance with applicable regulations.
What is the purpose of CSSF CIRCULAR 11/509?
The purpose of CSSF Circular 11/509 is to enhance regulatory oversight and to ensure that investment funds maintain effective governance structures and robust risk management frameworks.
What information must be reported on CSSF CIRCULAR 11/509?
Information that must be reported on CSSF Circular 11/509 includes the governance structure, risk management strategies, compliance policies, and details on the functioning of the board and committees responsible for fund management.
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