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ALFI Guidelines and Recommendations


 

AIFMD

ALFI Q&A document on AIFMD reporting (October 2014) Members only

ALFI guidelines on AIFMD reporting to investors and annual reports (October 2014) Members only

Investor Servicing: Operational Considerations for Managers of Luxembourg Alternative Funds

Corporate Governance

ALFI Priniciples of the oversight of financial intermediaries in distribution of funds (May 2017) Members only

ALFI code of conduct for Luxembourg investment funds (August 2013)

ALFI position paper on the CSSF Regulation N° 10-4: treatment of subscription and redemption orders under UCITS IV (January 2012)

ALFI guidelines: treatment of subscription and redemption orders under UCITS IV (August 2013)

ALFI position paper on the Commission Regulation (EU) N° 231/2013 of 19 December 2012: treatment of subscription and redemption orders under AIFMD (November 2013)

Framework for Due Diligence Information Packs for service providers acting as central administrators and/or depositary/custodian

Depositary Banks

ALFI-ABBL guidelines and recommendations for depositaries: oversight duties and cash monitoring for AIFs (July 2013) Members only

ALFI guidelines for depositary banks (September 2009)

  • in relation to the safekeeping of assets from UCITS funds held through the traditional custody network;

  • in relation to the safekeeping of assets from UCITS funds not held through the traditional custody network.

debt funds

Debt funds: An alternative source of financing for the European economy

eltif

European Long Term Investment Funds (ELTIF) FAQs Issue 1

infrastructure funds

ALFI guidelines on Luxembourg infrastructure investment funds (May 2015) Members only

Islamic funds

ALFI recommendations for setting-up and servicing Islamic funds (December 2012) Members only

financial market regulations

ALFI FAQ document on EMIR/OTC Derivatives (April 2014) Members only

PRIIPs KID

PRIIPs KID Q&A Members only

REIFs – Real Estate Investment Funds

ALFI FAQ document on financial reporting applicable to Luxembourg real estate investment funds (March 2012) Members only

ALFI FAQ document on depositories of Luxembourg  real estate investment funds (March 2012) Members only

Luxembourg - Successful REIF center: lessons learnt and opportunities from the real estate downturn (December 2013)

Risk Management

ALFI and ALRIM VAR model backtesting C.S.I  Members only

ALFI and ALRIM ABC of VAR model backtesting Members only

ALFI Risk management guidelines (English) (March 2012)

ALFI Risk management guidelines (Chinese) (March 2012)

ALFI recommendations on the risk management system for SIFs (June 2012)

ALFI guidelines for UCITS liquidity risk management (March 2013) Members only

ALFI guidelines: principles for sound stress testing practices for UCITS (April 2014)

ALFI Q&A document on risk management for AIF under AIFMD (April 2014)

ALFI guidelines operational risk management within UCITS (April 2014)

ALFI guidelines risk management under AIFMD (April 2014)

ALFI guidelines: Considerations for the Management of Operational Risks Associated with the Distribution of Funds (June 2016)

rqfii

FAQ document in English and Chinese  (general guidance to Luxembourg investment funds and their management companies wishing to apply for an RQFII Licence and an RQFII Quota).

side pockets

Special ALFI newsflash on side pockets (fast-tract procedures) (March 2009)

Swing Pricing

ALFI Swing pricing guidelines (March 2011)

ALFI Swing pricing guidelines (December 2015)

tax

ALFI FAQ on Reporting under CRS  Members only

Timing for 2016 reporting under CRS Members only

ALFI/ILA recommendations on VAT on remuneration of directors of UCIs and their management companies

ALFI Fatca Q&A document (May 2014)

ALFI FATCA Q&A reporting & withholding (July 2015)

ALFI CRS DAC - recommendations

ALFI CRS DAC - list of relevant documents

ALFI CRS DAC - template - self certification form - entity

ALFI CRS DAC - template - self certification form - individual

ALFI CRS DAC - template - self certification form - controlling person

ALFI Automatic Exchange of Information in the field of taxation and related considerations on data protection June 2016

ALFI Automatic Exchange of Information in the field of taxation update of ALFI self-certification forms for FATCA and CRS November 2016

target 2 securities for funds

Q&A Target 2 securities for funds

The European Savings Tax Directive

ALFI recommendations on European Savings Directive (June 2005) Members only

UCITS Borrowing Principles

ALFI guidelines on UCITS borrowing principles (July 2009)

ucits kiid

ALFI UCITS KIID Q&A document (September 2012) Members only

Valuation

ALFI guidelines on the calculation of amortised costs vs. market value deviation (February 2009) Members only

Miscelleanous

ALFI recommendations aimed at reducing the risk of money laundering and terrorist financing in the Luxembourg fund industry (July 2013)

ALFI Madoff task force: Final Report (September 2009) Members only

ALFI Madoff task force: Interim Report (March 2009) Members only

ALFI guidelines for fund of funds concerning the valuation of investment funds affected by Bernard L. Madoff Investment Securities, LLC (March 2009) Members only

 

 

Updated on 31/05/17  
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