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1. When submitting the notification letter referred to in Article 93(1) of Directive 2009/65/EC, a UCITS shall use the model set out in Annex I to this Regulation.
2. When providing the documentation referred to in Article 20(1) of Directive 2009/65/EC, a management company shall use the model set out in Annex II to this Regulation.
1. Competent authorities shall publish on their websites the email address or other communication channel that is to be used to send the notifications made by management companies in accordance with Article 20(1) of Directive 2009/65/EC.
2. Management companies shall send the notifications referred to in paragraph 1 either in a machine-readable format to the email address published in accordance with paragraph 1 or by any other communication channels put in place by competent authorities.
1. The competent authorities of a management company’s home Member State shall communicate to the competent authorities of the management company’s host Member State the information received in accordance with Article 17(2) and Article 18(1) of Directive 2009/65/EC using the templates set out in Annex III and, where the management company intends to establish a branch, in addition communicate the information under Article 17(2) letter (d) of Directive 2009/65/EC using the template set out in Annex VII to this Regulation.
2. The competent authorities of a UCITS home Member State shall communicate the details of any compensation scheme as referred to in Article 17(3), first subparagraph, and Article 18(2), second subparagraph, of Directive 2009/65/EC using the template set out in Annex IV to this Regulation.
3. The competent authorities of a management company’s home Member State shall use the template set out in Annex V to this Regulation for the attestation referred to in Article 17(3), third subparagraph, and Article 18(2), third subparagraph, of Directive 2009/65/EC.
4. The competent authorities of a management company’s home Member State shall use the template set out in Annex VI to this Regulation for the attestation referred to in Article 93(3), second subparagraph, of Directive 2009/65/EC.
1. Competent authorities shall designate a single contact point for the communication and transmission of the information and documents referred to in Article 3. Competent authorities shall notify the details of that contact point, and any modification of that contact point, to every other competent authority.
2. Competent authorities shall ensure that their designated email address or other communication channel for receiving notifications is monitored each working day.
3. Competent authorities shall send the information and documents referred to in Article 3 by email or, if other communication channels are chosen, in a machine-readable format to the contact point referred to in paragraph 1.
4. The communication and transmission of the information and documentation referred to in Article 17(3), first subparagraph, Article 18(2), first, second and third subparagraphs, and Article 93(3), second subparagraph, of Directive 2009/65/EC shall not be considered to have taken place in any of the following cases:
(a)
an information or documentation that had to be communicated or transmitted is missing, is incomplete, or is in a format other than that specified in paragraph 3;
(b)
the competent authorities of a management company’s or of a UCITS home Member State did not use the contact point designated in accordance with paragraph 1 by the competent authority of the UCITS or management company’s host Member State;
(c)
the competent authorities of a management company’s or of a UCITS home Member State have failed to transmit the complete information and documentation as a result of a technical failure in their electronic system.
5. Competent authorities of the management company’s or of the UCITS home Member State shall notify the management company about the transmission of the complete information or documentation referred to in Article 17(3), first subparagraph, Article 18(2), first, second and third subparagraphs, and Article 93(3), second subparagraph, of Directive 2009/65/EC only after having ensured that that information or documentation has been transmitted to the receiving competent authority.
6. Competent authorities of the management company’s or the UCITS home Member State that have been informed or have become aware that the complete information or documentation referred to in Article 17(3), first subparagraph, Article 18(2), first, second and third subparagraphs, and Article 93(3), second subparagraph, of Directive 2009/65/EC has not been transmitted shall immediately take steps to transmit that complete information and documentation.
1. Competent authorities that receive the information or documentation referred to in Article 17(3), first subparagraph, Article 18(2), first, second and third subparagraphs, and Article 93(3), second subparagraph, of Directive 2009/65/EC shall notify the competent authorities of the management company’s or of the UCITS home Member State as soon as possible, but no later than 5 working days from the date of the receipt of that information or documentation, and using the contact point referred to in Article 4(1), of whether:
(a)
the information and documentation are complete;
(b)
the information and documentation can be viewed and printed.
2. The competent authorities of the management company’s or of the UCITS home Member State that have not received the notification referred to in paragraph 1 or have not received such notification within the time limit set out in paragraph 1 shall contact the competent authorities of the Member State in which the management company wishes to carry out the activities for which it has been authorised or in which the UCITS proposes to market its units or shares, and ascertain whether or not the transmission of the complete information and documentation has taken place.
Regulation (EU) No 584/2010 is amended as follows:
(1)
Chapter I is deleted;
(2)
Annexes I and II are deleted.
This Regulation shall enter into force on the twentieth day following that of its publication in the Official Journal of the European Union .
This Regulation shall apply from 14 July 2024.
ANNEX I
Model notification letter to be submitted by a UCITS for the cross-border marketing of UCITS under Article 93(1) of Directive 2009/65/EC
NOTIFICATION LETTER
NOTIFICATION OF INTENTION TO MARKET UNITS OF UCITS
IN ______________________________________ ( the host Member State ) ( 1 )
Are you notifying amendments to information already provided in an initial notification? Yes ☐ No ☐
In case the answer to this question was ‘Yes’, please fill-in only the updated information compared to the previous notification and indicate the date of the previous notification: __________________.
TABLE OF CONTENTS
PART 1 –
Information on the management company or internally managed UCITS
Section 1.
Identification of the management company or internally managed UCITS
Section 2.
Facilities to investors
PART 2 –
Information on the UCITS
Section 1.
Identification of the UCITS
Section 2.
Arrangements made for marketing of units of UCITS
Section 3.
Attachments
PART 3 –
Confirmation of completeness
PART 1
Information on the management company or internally managed UCITS
Section 1. Identification of the management company or internally managed UCITS
Information on the management company or internally managed UCITS
Management company or internally managed UCITS ( 2 )
Management company’s or internally managed UCITS’ LEI ( 2 )
National identification code of the management company or internally managed UCITS (where available) ( 2 )
Management company’s or internally managed UCITS’ home Member State ( 2 )
Address and registered office/domicile, where different from address
Details of management company’s or internally managed UCITS’ website
Contact details of the department (or contact point) responsible for the notification letter within the management company or internally managed UCITS
Department (or contact point)
Telephone number
Email address
Details of the third party (where a third party is designated by the management company or internally managed UCITS to make the notification)
Third party
Address and, where different from address, registered office/domicile
Department (or contact point)
Telephone number
Email address
Department (or contact point) for the transmission of the invoice or for the communication of any applicable regulatory fee or charges (where applicable) ( 3 )
Name of the entity
Address and, where different from address, registered office/domicile
Department (or contact point)
Telephone number
Email address
Please specify which email address provided in this section (contact point at the management company or internally managed UCITS, contact point within the appointed third party or contact point for the transmission of the invoice) is the preferred address to which the host national competent authority can transmit any confidential information (inter alia, login and password to access the national systems for reporting)
Section 2. Facilities to investors
In accordance with Article 93(1) of Directive 2009/65/EC, please fill-in the following table to provide information on the facilities to perform the tasks referred to in Article 92(1) of that Directive:
Tasks
Information on the facilities performing the tasks
Name/legal form/registered office/address, email, and telephone number for correspondence of the entity responsible to provide the facilities
Process subscription and redemption (or repurchase) orders and make other payments to unitholders relating to the units of the UCITS
Provide investors with information on how orders can be made and how redemption (or repurchase) proceeds are paid
Facilitate the handling of information and access to procedures and arrangements referred to in Article 15 of Directive 2009/65/EC relating to investors’ exercise of their rights
Make the information and documents required pursuant to Chapter IX of Directive 2009/65/EC available to investors
Provide investors with information relevant to the tasks that the facilities perform in a durable medium
Act as a contact point for communicating with the competent authorities
PART 2
Information on the UCITS
Section 1. Identification of the UCITS
Please fill the below table with information for each UCITS you intend to market in the host Member State, creating a new table for each UCITS and by indicating only one share class (name and ISIN) on each line. Where a UCITS takes the form of an umbrella UCITS with several compartments or sub-funds, references to the UCITS in the table below shall be understood as referring to the compartment or sub-fund to be marketed in the host Member State and not to the umbrella UCITS, which shall be identified separately in the corresponding column.
Name of the UCITS to be marketed in the host Member State
UCITS home Member State
Legal form of the UCITS ( 4 )
LEI of the UCITS (where available)
Name of share class(es) to be marketed in the host Member State ( 5 )
ISIN of share class(es) to be marketed in the host Member State ( 5 )
Duration of the UCITS (where applicable)
National identification code of the UCITS
(where available)
Name of the umbrella UCITS
(where applicable)
Section 2. Arrangements made for marketing of units of UCITS
Units of the UCITS/UCITS compartments will be marketed by:
☐
the management company that manages the UCITS or the internally managed UCITS
☐
credit institutions
☐
authorised investment firms or advisers
☐
Other bodies, including bodies located in a third country. Please specify: ___________________
Section 3. Attachments
(1)
The latest version of the fund rules or instruments of incorporation, and a translation where required by Article 94(1), point (c), of Directive 2009/65/EC.
( Title of document or name of electronic file attachment )
(2)
The latest version of the prospectus, and a translation where required by Article 94(1), point (c), of Directive 2009/65/EC.
( Title of document or name of electronic file attachment )
(3)
The latest version of the key investor information, and a translation where required by Article 94(1), point(b), of Directive 2009/65/EC.
( Title of document or name of electronic file attachment )
(4)
The latest published annual report and any subsequent half-yearly report, and a translation where required by Article 94(1), point (c), of Directive 2009/65/EC (where available).
( Title of document or name of electronic file attachment )
(5)
Where required by the UCITS host Member State, evidence of payment due to the competent authorities of the host Member State
( Title of document or name of electronic file attachment )
Note:
The latest versions of the required documents must be attached to this letter for onward transmission by the competent authorities of the UCITS home Member State, even where copies have been provided to that authority previously. Where any of the documents have previously been sent to the competent authorities of the UCITS host Member State and remain valid, the notification letter may refer to that fact.
Provide the link to the latest electronic copies of the attachments:
_________________________________________________________________
PART 3
Confirmation of completeness
Confirmation by the UCITS
We hereby confirm that the documents attached to this notification letter contain all relevant information as provided for in Directive 2009/65/EC.
( The notification letter shall be signed by an authorised signatory of the UCITS, or a third person empowered by a written mandate to act on behalf of the notifying UCITS, in a manner which the competent authorities of the UCITS home Member State accept for certification of documents. The signatory shall state his or her full name and capacity and shall ensure the confirmation is dated. )
Date
Name and capacity of the signatory
Signature
( 1 ) Please fill-in one notification letter for each Member State where the marketing of UCITS is intended.
( 2 ) This field should always be filled-in, also in the case of updates.
( 3 ) Please indicate a single contact for the transmission of the invoice or for the communication of any applicable regulatory fee or charge referred to in Article 9 of Regulation (EU) 2019/1156 of the European Parliament and of the Council of 20 June 2019 on facilitating cross-border distribution of collective investment undertakings and amending Regulations (EU) No 345/2013, (EU) No 346/2013 and (EU) No 1286/2014 ( OJ L 188, 12.7.2019, p. 55 ) and in Article 2 of Commission Implementing Regulation (EU) 2021/955 of 27 May 2021 laying down implementing technical standards for the application of Regulation (EU) 2019/1156 of the European Parliament and of the Council with regard to the forms, templates, procedures and technical arrangements for the publications and notifications of marketing rules, fees and charges, and specifying the information to be communicated for the creation and maintenance of the central database on cross-border marketing of AIFs and UCITS, as well as the forms, templates and procedures for the communication of such information ( OJ L 211, 15.6.2021, p. 30 ). This contact point may be the same as the contact point designated within the management company, or a contact point within an appointed third party.
( 4 ) The legal form is one of the following: common fund, unit trust, investment company, or any other legal form available under the national legislation of the UCITS home Member State.
( 5 ) Please list only those share classes the marketing of which is intended.
ANNEX II
Model letter to be submitted by a management company to the competent authorities of the UCITS home Member State under Article 20(1) of Directive 2009/65/EC
NOTIFICATION LETTER
NOTIFICATION OF THE INTENTION OF A MANAGEMENT COMPANY TO MANAGE A UCITS ESTABLISHED IN ANOTHER MEMBER STATE IN ACCORDANCE WITH ARTICLE 20(1) OF DIRECTIVE 2009/65/EC
IN ______________________________________ ( the host Member State(s) )
Are you notifying amendments to information already provided in an initial notification? Yes ☐ No ☐
If the answer to this question is ‘Yes’, please fill-in only the updated information compared to the previous notification and indicate the date of the previous notification: ____________________
TABLE OF CONTENTS
PART 1 –
Information on the management company
PART 2 –
Identification of the delegate and the delegated functions
PART 3 –
Attachments
PART 1
Information on the management company
Information on the management company
Management company ( 1 )
Management company’s LEI ( 1 )
National identification code of the management company (where available) ( 1 )
Management company’s home Member State ( 1 )
Address and, where different from address, registered office/domicile
Details of management company’s website
Contact details of the department (or contact point) responsible for the notification within the management company
Department (or contact point)
Telephone number
Email address
Details of the third party (where the management company designates a third party to make the notification)
Third party
Address and, where different from address, registered office/domicile.
Department (or contact point)
Telephone number
Email address
Contact point for the transmission of the invoice or for the communication of any applicable regulatory fee or charges (if applicable) ( 2 )
Name of the entity
Department (or contact point)
Address and, where different from address, registered office/domicile
Telephone number
Email address
Please specify which email address provided in this section (contact point at the management company, contact point within the appointed third party or contact point for the transmission of the invoice) is the preferred address to which the host NCA can transmit any confidential information (inter alia, login and password to access the national systems for reporting)
PART 2
Identification of the delegate and the delegated functions
Please replicate the information in Part 2 for each delegate and delegated functions.
Name of the delegate
Delegate’s home Member State
Address and registered office/domicile, where different from address
The delegate will conduct the following activities and provide the following services in the host Member State(s) on behalf of the management company:
☐
Investment management
Administration
☐
Legal and fund management accounting services
☐
Customer inquiries
☐
Valuation and pricing (including tax returns)
☐
Regulatory compliance monitoring
☐
Maintenance of unit-holder register
☐
Distribution of income
☐
Unit issues and redemptions
☐
Contract settlements (including certificate dispatch)
☐
Record keeping
Please describe the reporting line in place between the delegate and the management company
PART 3
Attachments
Written contract with the depositary of the concerned UCITS in the UCITS home Member State.
Other (where applicable, please specify).
__________________________________________________________________
( title of document or name of electronic file attachment )
Note:
The latest versions of the required documents listed above must be attached to this letter for onward transmission by the competent authorities of the management company’s home Member State, even where copies have been provided to that authority previously. Where any of the documents have previously been sent to the competent authorities of the management company’s host Member State and remain valid, the notification letter may refer to that fact.
Provide the link to the latest electronic copies of the attachments
Date
Name and capacity of the signatory
Signature
( 1 ) This field should always be filled-in, also in the case of updates.
( 2 ) Please indicate a single contact point for the transmission of the invoice or for the communication of any applicable regulatory fee or charge referred to in Article 9 of Regulation (EU) 2019/1156 and in Article 2 of Commission Implementing Regulation (EU) 2021/955. That contact point may be the same as the contact point designated within the management company, or a contact point within an appointed third party.
ANNEX III
Model for the communication by the competent authorities of a management company’s home Member State to the competent authorities of the management company’s host Member State of information under Article 17(2) or Article 18(1) of Directive 2009/65/EC
NOTIFICATION LETTER
COMMUNICATION OF INFORMATION REGARDING A NOTIFICATION MADE BY A MANAGEMENT COMPANY OF ITS INTENTION TO PURSUE THE ACTIVITIES FOR WHICH IT HAS BEEN AUTHORISED IN ANOTHER MEMBER STATE IN ACCORDANCE WITH ARTICLE 17(2) OR Article 18(1) OF DIRECTIVE 2009/65/EC.
IN ______________________________________ ( the host Member State(s) )
Does this letter amend information already provided in an initial communication? Yes ☐ No ☐
In case the answer to this question is ‘Yes’, please fill-in only the updated information compared to the previous communication and indicate the date of the previous communication: _______________
TABLE OF CONTENTS
PART 1 –
Information on the management company
PART 2 –
Information to be provided by the management company pursuant to Article 17(1) and (2) of Directive 2009/65/EC to conduct its activities in the host Member State(s) through a branch
Section 1.
Information on the branch
Section 2.
Programme of operations of the branch
Section 3.
Organisational structure of the branch
Section 4.
Termination of the branch
PART 3 –
Activities to be conducted under the freedom to provide services
PART 1
Information on the management company
Information on the management company
Management company ( 1 )
Management company’s LEI ( 1 )
National identification code of the management company (where available) ( 1 )
Management company’s home Member State ( 1 )
Address and, where different from address, registered office/domicile
Details of management company’s website
Contact details of the responsible department (or contact point) within the management company
Department (or contact point)
Telephone number
Email address
Details of the third party (where the management company designates a third party to make the notification)
Third party
Address and, where different from address, registered office/domicile
Department (or contact point)
Telephone number
Email address
Contact point for the transmission of the invoice or for the communication of any applicable regulatory fee or charges (where applicable) ( 2 )
Name of entity
Department (or contact point)
Address and, where different from address, registered office/domicile
Telephone number
Email address
Please specify which email address among that specified in this section (contact point at the management company, contact point within the appointed third party or contact point for the transmission of the invoice) is the preferred address to which the host NCA can transmit the confidential information (inter alia, login and password to access the national systems for reporting)
The details of the compensation scheme intended to protect investors can be found in the attached document entitled ‘Identification of compensation schemes intended to protect investors pursuant to Articles 17(3) and 18(2) of Directive 2009/65/EC’.
PART 2
Information to be provided by the management company pursuant to Article 17(1) and (2) of Directive 2009/65/EC to conduct its activities in the host Member State(s) through a branch
This Part must be filled only where the management company intends to establish a branch in the host Member State. Where the management company intends to conduct its activities in the host Member State exclusively under the freedom to provide services, this Part shall be left blank, and Part 3 shall be filled in.
Section 1. Information on the branch
Identification of the branch
Name of the branch ( 3 )
National identification code of the branch in management company’s Home Member State (where available) ( 3 )
National identification code of the branch in Member State where the branch is established (where available) ( 3 )
Address and, where different from address, registered office/domicile ( 3 )
Details of the branch’s website (where different from the management company’s website)
Dep artment (or contact point) from which documents may be obtained in the Member State where the branch is established
Department (or contact point)
Address and, where different from address, registered office/domicile
Telephone number
Email address
Section 2. Programme of operations of the branch
The branch will conduct the following activities and provide the following services in the host Member State(s):
☐
Investment management
☐
Marketing
Administration
☐
Legal and fund management accounting services
☐
Customer inquiries
☐
Valuation and pricing (including tax returns)
☐
Regulatory compliance monitoring
☐
Maintenance of unit-holder register
☐
Distribution of income
☐
Unit issues and redemptions
☐
Contract settlements (including certificate dispatch)
☐
Record keeping
Non-core services
☐
Management of portfolios of investments, including those owned by pension funds, in accordance with mandates given by investors on a discretionary, client-by-client basis, where such portfolios include one or more of the instruments listed in Annex I, Section C to Directive 2014/65/EU of the European Parliament and of the Council ( 4 )
☐
Investment advice concerning one or more of the instruments listed in Annex I, Section C to Directive 2014/65/EU
☐
Safekeeping and administration in relation to units of collective investment undertakings
Please indicate how the branch will contribute to the strategy of the management company
Please indicate whether the management company is a member of a group and, in this case, how the branch will contribute to the strategy of the group
Please indicate the strategy of the branch (e.g. indication of the volume of business envisaged, types of investors with which the management company will be dealing and how the management company will obtain and deal with those investors)
Please provide forecast statements for both, profit/loss and cash flow, over an initial 36-month period
Section 3. Organisational structure of the branch
Description of the functional, geographical, and legal reporting lines
Description of the place of the branch into the corporate structure of the management company, or of the group where the management company is a member of a group
Description of the rules in place for reporting by the branch to the head office of the management company
Description of the risk management process put in place by the management company at the level of the branch based on Articles 40 to 43 of Commission Directive 2010/43/EU ( 5 )
Summary of the systems and controls in place at the level of the branch as set out in Article 1(3)(f) of Commission Delegated Regulation (EU) 2024/911 ( 6 )
Description of the arrangements for the compliance with the rules drawn up by the management company’s host Member State pursuant to Article 14 of Directive 2009/65/EC
Description of the procedures put in place, and the human and material resources allocated, to comply with anti-money laundering and counter financing of terrorism obligations
Organisation chart of the branch
Section 4. Termination of the branch
This section should not be filled in an initial notification. It should be filled only in the event of an update to an initial notification, where the termination of the branch is envisaged.
Details and processes for winding down the business operations, including details of the measures to protect the interests of investors in the host Member State, how complaints are resolved and the discharge of any outstanding liabilities.
Schedule of the planned termination.
PART 3
Activities to be conducted under the freedom to provide services
This Part must be filled only where the management company intends to conduct its activities in the host Member State under the freedom to provide services. Where the management company intends to conduct its activities in the host Member State exclusively through a branch, this Part shall be left blank, and Part 2 shall be filled in.
The management company will conduct the following activities and provide the following services in the host Member State(s):
☐
Investment management
☐
Marketing
Administration
☐
Legal and fund management accounting services
☐
Customer inquiries
☐
Valuation and pricing (including tax returns)
☐
Regulatory compliance monitoring
☐
Maintenance of unit-holder register
☐
Distribution of income
☐
Unit issues and redemptions
☐
Contract settlements (including certificate dispatch)
☐
Record keeping
Non-core services
☐
Management of portfolios of investments, including those owned by pension funds, in accordance with mandates given by investors on a discretionary, client-by-client basis, where such portfolios include one or more of the instruments listed in Annex I, Section C to Directive 2014/65/EU
☐
Investment advice concerning one or more of the instruments listed in Annex I, Section C to Directive 2014/65/EU
☐
Safekeeping and administration in relation to units of collective investment undertakings
Please indicate how the activities to be conducted in the host Member State will contribute to the strategy of the management company and, where the management company is a member of a group, how the activities to be conducted in the host Member State will contribute to the strategy of the group
Date
Name and capacity of the signatory
Signature
( 1 ) This field should always be filled-in, also in the case of updates.
( 2 ) Please indicate a single contact point for the transmission of the invoice or for the communication of any applicable regulatory fee or charge referred to in Article 9 of Regulation (EU) 2019/1156 and in Article 2 of the Commission Implementing Regulation (EU) 2021/955. This contact point may be the same as the contact point designated within the management company, or a contact point within an appointed third party.
( 3 ) This field should always be filled-in, also in the case of updates, where information concerning the branch is provided.
( 4 ) Directive 2014/65/EU of the European Parliament and of the Council of 15 May 2014 on markets in financial instruments and amending Directive 2002/92/EC and Directive 2011/61/EU ( OJ L 173, 12.6.2014, p. 349 ).
( 5 ) Commission Directive 2010/43/EU of 1 July 2010 implementing Directive 2009/65/EC of the European Parliament and of the Council as regards organisational requirements, conflicts of interest, conduct of business, risk management and content of the agreement between a depositary and a management company ( OJ L 176, 10.7.2010, p. 42 ).
( 6 ) Commission Delegated Regulation (EU) 2024/911 of 15 December 2023 supplementing Directive 2009/65/EC of the European Parliament and of the Council with regard to regulatory technical standards specifying the information to be notified in relation to the cross-border activities of management companies and undertakings for collective investment in transferable securities (UCITS) ( OJ L, 2024/911, 25.3.2024, ELI: http://data.europa.eu/eli/reg_del/2024/911/oj ).
ANNEX IV
Attestation of the competent authority of compensation schemes intended to protect investors pursuant to Article 17(3), first subparagraph, and Article 18(2), second subparagraph, of Directive 2009/65/EC
ATTESTATION ESTABLISHED BY ______________________________________ ( name of the competent authority of the management company’s home Member State )
Section 1. Department responsible for the establishment of this attestation within the competent authority of the management company’s home Member State
Department
Address of the competent authority
Email address of the department establishing the statement
Section 2. Identification of management company this attestation relates to
Management company
Management company’s LEI
National identification code of the management company (where available)
Management company’s home Member State
Address and, where different from address, registered office/domicile
Section 3. Identification of the investor compensation scheme
Investor compensation scheme
Address of the investor compensation scheme
Registered office/domicile of the investor compensation scheme where different from its address
Details of the investor compensation scheme’s website
(The attestation shall be signed and dated by a representative of the competent authority of the UCITS home Member State. The signatory shall state his or her full name and capacity.)
Date
Name and capacity of the signatory
Signature
ANNEX V
Attestation of the competent authority of the authorisation of a management company under Article 17(3), third subparagraph, and Article 18(2), third subparagraph, of Directive 2009/65/EC
ATTESTATION ESTABLISHED BY ______________________________________ ( name of the competent authority of the management company’s home Member State )
Section 1. Department responsible for the establishment of the attestation within the competent authority of the management company’s home Member State
Department
Address of the competent authority
Email address of the department establishing the statement
Section 2. Identification of the management company
Management company
Management company’s LEI
Management company’s national identification code (where available)
Management company’s home Member State
Address and, where different from address, registered office/domicile
Details of management company’s website
Section 3. Scope of the authorisation of the management company
The management company has been authorised in _________________________ ( name of the home Member State ) to conduct the following activities and provide the following services by ___________________________ ( name of the home competent authority ):
☐
Investment management
☐
Marketing
Administration
☐
Legal and fund management accounting services
☐
Customer inquiries
☐
Valuation and pricing (including tax returns)
☐
Regulatory compliance monitoring
☐
Maintenance of unit-holder register
☐
Distribution of income
☐
Unit issues and redemptions
☐
Contract settlements (including certificate dispatch)
☐
Record keeping
Non-core services
☐
Management of portfolios of investments, including those owned by pension funds, in accordance with mandates given by investors on a discretionary, client-by-client basis, where such portfolios include one or more of the instruments listed in Annex I, Section C to Directive 2014/65/EU
☐
Investment advice concerning one or more of the instruments listed in Annex I, Section C to Directive 2014/65/EU
☐
Safekeeping and administration in relation to units of collective investment undertakings
The management company is subject to the following restrictions regarding the types of UCITS it is authorised to manage (where applicable)
(The attestation shall be signed and dated by a representative of the competent authority of the management company’s home Member State. The signatory shall state his or her full name and capacity.)
Date
Name and capacity of the signatory
Signature
ANNEX VI
Attestation of the competent authority under Article 93(3), second subparagraph, of Directive 2009/65/EC
ATTESTATION ESTABLISHED BY ______________________________________________ ( name of the competent authority of the UCITS home Member State )
Section 1. Department responsible for the establishment of the attestation within the competent authority of the UCITS home Member State
Department
Address of the competent authority
Email address of the department establishing the statement
Section 2. Identification of the UCITS whose units will be marketed in the host Member State
Please fill the below table with information for each UCITS that is notified for marketing in the host Member State. Where a UCITS takes the form of an umbrella UCITS with several compartments or sub-funds, references to the UCITS in the table below shall be understood as referring to the compartment or sub-fund to be marketed in the host Member State and not to the umbrella UCITS, which shall be identified separately in the corresponding column.
Name of the UCITS
Name of the umbrella UCITS (where applicable)
Legal form ( 1 )
UCITS LEI (where available)
Date of authorisation
UCITS national identification code (where available )
Duration of the UCITS (where applicable )
Management company ( 2 )
Management company LEI
Management company national identification code (where available)
Section 3. Attestation of the fulfilment of the conditions set out in Directive 2009/65/EC
The below signatory certifies that the UCITS identified in section 2 of the present attestation fulfil the conditions set out in Directive 2009/65/EC and may market
their units in __________________________________ ( the host Member State ).
(The attestation shall be signed and dated by a representative of the competent authority of the UCITS home Member State. The signatory shall state his or her full name and capacity.)
Date
Name and capacity of the signatory
Signature
( 1 ) The legal form is one of the following: common fund, unit trust or investment company.
( 2 ) The management company shall be identified only for externally managed UCITS. In case of internally managed investment companies, please leave blank.
ANNEX VII
Model for the communication by the competent authorities of a management company’s home Member State to the competent authorities of the management company’s host Member State under Article 17(2) letter (d) of Directive 2009/65/EC
NOTIFICATION LETTER
NOTIFICATION OF PERSONS RESPONSIBLE FOR A BRANCH ( 1 ) RELATED TO THE INTENTION OF A MANAGEMENT COMPANY TO ESTABLISH A BRANCH IN A MEMBER STATE OTHER THAN ITS HOME MEMBER STATE IN ACCORDANCE WITH ARTICLE 17, PARAGRAPH (2), LETTER (D) OF DIRECTIVE 2009/65/EC.
IN ______________________________________ ( the host Member State )
Identification of the management Company
Management company
Management company LEI
National identification code of the management company (where available)
Management company’s home Member State
Address and, where different from address, registered office/domicile
Identification of the branch
Name of the branch
National identification code of the branch in the management company’s home Member State (where available)
National identification code of the branch in the Member State where the branch is established (where available)
Address and, where different from address, registered office/domicile
Are you notifying amendments to information already provided in an initial notification? Yes ☐ No ☐
In case the answer to this question is ‘Yes’, please highlight below the updated information compared to the previous notification and indicate the date of the previous notification: __________________
NOTIFICATION OF A PERSON RESPONSIBLE FOR:
☐
The management of the branch
☐
The termination of the operations of the branch ( 2 )
Identification of notified person
Surname
First name
Position or function performed
Start date for this position
End date for this position (where relevant)
Telephone number
Email address
Additional remarks
Additional remarks, where indicated (e.g. former name in case of name changes, position changes, etc.)
Date
Name and capacity of the signatory
Signature
( 1 ) Please submit one separate form for each relevant person and one form per electronic file only.
( 2 ) Notification of a person responsible for the termination of the branch should only be filed as an update where the termination of the branch is envisaged.
Commission Implementing Regulation (EU) 2024/910 of 15 December 2023 laying down implementing technical standards for the application of Directive 2009/65/EC of the European Parliament and of the Council with regard to the form and content of the information to be notified in respect of the cross-border activities of undertakings for collective investment in transferable securities (UCITS), UCITS management companies, the exchange of information between competent authorities on cross-border notification letters, and amending Commission Regulation (EU) No 584/2010 (EUR-Lex). Retrieved via LawPlayer, https://lawplayer.com/eu/act/32024R0910
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