Knowledge Base

Which documents must be included in the authorization application for a UCITS under Instruction DOC-2011-19?

The annual financial statements and summary reports

The prospectus, KID, fund rules or SICAV articles of incorporation, the management company's business plan, and the depositary's commitment letter

External auditor reports and service contracts

Performance forecasts and market analyses

What summary risk indicator (SRI) is used in the KID?

A scale of 3 to 5

A scale of 4 to 6

A scale of 5 to 7

A scale of 1 to 7

What is the validity period of a prospectus approved by the AMF under European Prospectus Regulation 2017/1129?

6 months

12 months

18 months

24 months

What is the minimum threshold for a public offering of securities to require an AMF visa under European Prospectus Regulation 2017/1129?

5 million euros over twelve months

8 million euros over twelve months

10 million euros over twelve months

15 million euros over twelve months

Categorize items by dragging them to the appropriate zones

Items to categorize:

First-time application

Registration document already validated

Frequent issuers under simplified procedure

Prospectus supplement

Categories:

20 trading days

10 days

3 to 5 days

7 days

Distributors must always validate the target market defined by the manufacturer without any modification.

True

False

Definition of the KID (Key Information Document)

Click to see answer

Alternative investment funds (AIFs) for professional investors that do not require AMF authorization must always be declared.

True

False