ANNEX II Functions included in the activity of collective portfolio management:

ANNEX II

Functions included in the activity of collective portfolio management:

—

Investment management.

—

Administration:

(a)

legal and fund management accounting services;

(b)

customer inquiries;

(c)

valuation and pricing (including tax returns);

(d)

regulatory compliance monitoring;

(e)

maintenance of unit-holder register;

(f)

distribution of income;

(g)

unit issues and redemptions;

(h)

contract settlements (including certificate dispatch);

(i)

record keeping.

—

Marketing.

1. Vue d’ensemble

Intitulé	Réglementation

Exigences
Source	Exigence

Normes
Source	Exigence