Published by:
WG1
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Description:
(Document ALFI) - Protection of investors in the event of non compliance with investment restrictions (CSSF circular 2002/77 dated 27 November 2002)
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| Documents: |
 Question submitted by the ALFI to the CSSF- EN |
Answer of the ALFI- EN |
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Published by:
WG2
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Description:
Code of conduct in the Financial Sector (Circulaire CSSF 2000/15 dd 2 August 2000):
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| Documents: |
| EN Version |
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Published by:
WG3
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Description:
Money laundering prevention in the framework of the transfer agent of a UCIT administered in Luxembourg
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| Documents: |
| EN Version |
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Published by:
WG3
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Description:
List of professionals of FATF countries, subject to AML legislation -December 2002
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| Documents: |
| EN Version |
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Published by:
WG5
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Description:
Definition of the function Compliance Officer: October 2002
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| Documents: |
| EN Version |
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Published by:
WG7
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Description:
Code of ethics of the Luxembourg Mutual Fund Industry
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| Documents: |
| EN Version |
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Published by:
WG8
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Description:
Checklists summarizing different circulars issued by the CSSF -March 2004 - Intermediary version in English.
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| Documents: |
| EN Version |
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Published by:
WG10
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Description:
Compliance controls
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| Documents: |
| Final Report |
MiFID Controls Chart |
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Published by:
WG15
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Description:
Luxembourg Marketing Code
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| Documents: |
| EN Version |
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Published by:
WG19
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Description:
Compliance Chart
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| Documents: |
| EN Version |
FR Version |
GER Version |
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Published by:
WG20
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Description:
Practices and Recommendations aimed at reducing the risk of money laundering and terrorist financing in the Luxembourg Fund Industry
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| Documents: |
| Document only availble to members of ALCO |
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Published by:
WG23
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Description:
Compliance Policy
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| Documents: |
| EN Version |
FR Version |
GER Version |
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Published by:
WG25
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Description:
Compliance, Operational Risk Management & Internal Audit
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| Documents: |
| EN Version |
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Published by:
WG30
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Description:
Domiciliary Agents
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| Documents: |
| EN Version « Document is currently being updated » |
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Les attentes de la FSMA vis à vis des compliance officers 
