UCITS Directive
Retail fund product rules: eligible assets, diversification, depositary, KIID/KID and remuneration.
- Issued by
- European Union / ESMA
- Applies in
- European Union
- Edition
- Directive 2009/65/EC, as amended
- Area
- Investment & funds
What an assessor reads first.
The headline requirements in Amoreg’s catalogue, in the issuer’s own numbering where it has one. They are where a review starts, not a transcription of the text.
- ELIGEligible assets and investment limitsInvestment
- RMRisk management processRisk
- DEPDepositary oversightOrganisation
- KIDKey information documentDisclosure
- REMRemuneration policyGovernance
How Amoreg keeps you on it.
Enable the UCITS Directive and the Monitor suggests ESMA as a source. Every publication it records keeps its source, stage and date.
Inspector reads your policies against these 5 requirements every week and opens a finding wherever one falls short, citing the rule and drafting the fix. A person decides what is applied.
Each week
- Read esma.europa.eu/press-news/esma-news
- Check the library against 5 requirements
- Open findings with drafted fixes
- Wait for a person to decide
Policy does not yet set out: eligible assets and investment limits
- Rule
- UCITS Directive, ELIG
- Area
- Investment
- Proposed by
- Inspector
- Decided by
- A named person, once reviewed
The same ground, elsewhere.
- Guernsey Protection of Investors Law & Collective Investment Scheme RulesLicensing and conduct for investment business and the rules for authorised and registered schemes.Guernsey · 4 controls
- JFSC Codes of Practice for Certified Funds and Fund Services BusinessCodes for Jersey certified funds and the businesses that service them.Jersey · 4 controls
- Cayman Islands Mutual Funds Act & Private Funds ActRegistration, audit, valuation, safekeeping and cash-monitoring requirements for Cayman funds.Cayman Islands · 5 controls
- US Investment Advisers Act of 1940 — Compliance Program RuleWritten compliance policies, a chief compliance officer and an annual review for registered advisers.United States · 5 controls
- SEC Regulation S-PPrivacy notices, safeguarding and the incident response programme with 30-day customer notification.United States · 4 controls
- US Investment Advisers Act — Fiduciary Duty, Marketing & DisclosureAdviser fiduciary duty of care and loyalty, the Marketing Rule, Form ADV brochure disclosure and delivery, books and records, proxy voting, pay to play, principal and agency cross trades, and the Rule 3a-4 safe harbour for model and wrap programmes.United States · 9 controls
Also in European Union
- EU Anti-Money Laundering Directives (4AMLD–6AMLD)The directive-based regime transposed into member state law, until the single rulebook applies.European Union · 6 controls
- EU AML Regulation (single rulebook)Directly applicable AML/CFT rules for obliged entities across the Union, supervised by AMLA (operational since July 2025).European Union · 8 controls
- EU General Data Protection RegulationThe data protection regime for controllers and processors established in, or targeting, the EU.European Union · 9 controls
- EU Artificial Intelligence ActRisk-based obligations for providers and deployers of AI systems; general-purpose AI duties from August 2025, high-risk from August 2026.European Union · 6 controls
- DORA — Digital Operational Resilience ActICT risk management, incident reporting, resilience testing and third-party risk for financial entities.European Union · 8 controls
- NIS2 DirectiveCybersecurity risk-management measures and incident reporting for essential and important entities.European Union · 4 controls
Questions
Does Amoreg watch for changes to the UCITS Directive?
Yes. Enable it and the Monitor suggests European Securities and Markets Authority as a source; every publication it records keeps its source, stage and date.
Can Amoreg check our policies against the UCITS Directive?
Yes. Inspector reads your library against its requirements every week and opens a finding, with the rule it cites and a proposed fix, wherever a policy falls short. A person decides what is applied.
Which edition does Amoreg use?
The catalogue records Directive 2009/65/EC, as amended. Editions were last verified in August 2026, and the Monitor records new publications as they appear.