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COMPLIANCE STATEMENT.pdf

Compliance_Statement_DE000SL0G1V1.pdf
Preview of COMPLIANCE STATEMENT
🔗 Source: solactive.com
📊 Size: 80 KB
👤 Author: Solactive AG
⬇️ Downloads: 157

Summary

Solactive AG, regulated by the German Federal Financial Supervisory Authority (BaFin), provides a Compliance Statement pursuant to Article 26(3) of Regulation (EU) 2016/1011. The statement lists provisions of the Benchmark Regulation (BMR) that Solactive chooses not to apply, including:
- Article 5(3)(a), reviewing the benchmark's definition and methodology at least annually, as Solactive reviews on an ad hoc basis;
- Article 5(3)(e), overseeing third parties involved in the benchmark provision, as Solactive's Compliance department and Operations Team handle this;
- Article 6(5), documenting and making the control framework available, as it contains protected business data;
- Article 7(2), designating an internal function to review compliance, as Solactive's New Index Approval Process and control framework make this unnecessary;
- Article 11(1), verifying input data, as intraday verification is impractical due to high calculation frequency, but end-of-day values are verified.

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Description

Solactive AG, regulated by the German Federal Financial Supervisory Authority (BaFin), provides a Compliance Statement pursuant to Article 26(3) of Regulation...

Technical Information

  • File Format: PDF
  • File Size: 80 KB
  • Pages: 6
  • Language: EN
  • Author: Solactive AG
  • Total Downloads: 157
  • Last Updated: 1 week ago

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