Templates
Finance
UCITS Compliance Checklist
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UCITS Compliance Checklist

1
Determine if the fund is eligible to be a UCITS under the Directive
2
Assess the fundโ€™s investment strategy and risk profile
3
Check that the fund structure and design are compliant with UCITS standards
4
Review the fund's prospectus and other marketing materials for compliance
5
Verify that the fund's asset diversification meets the requirements of the UCITS Directive
6
Approval: Asset Diversification
7
Check the fund's adherence to UCITS liquidity requirements
8
Review the fund's risk management process
9
Confirm that the fund's reporting procedures comply with UCITS standards
10
Check the fund's depository for compliance with the rules of the UCITS Directive
11
Review the fund's auditor's report and financial statements
12
Conduct an internal audit of the fund's UCITS compliance
13
Ensure necessary documents are ready for regulator inspection
14
Submit the required reporting to the regulators
15
Approval: Regulator Reporting
16
Address any queries or observations from the regulators
17
Prepare and implement action plan to correct any compliance deficiencies identified
18
Review and update the UCITS compliance manual as needed
19
Training staff on UCITS compliance requirements
20
Approval: Compliance Training