Information to be provided under Article 17(1) and (2) of Directive 2009/65/EC
Article 1
Open ↗1. The information that management companies are to provide under Article 17(1) of Directive 2009/65/EC shall contain all the following: (a) the name, address, LEI and contact details of the management company; (b) the name and contact details of the department or contact point at the management company that is responsible for exchanging the information with the competent authority of the management company’s home Member State. 2. The description of the activities and services to be included in the programme of operations that management companies are to communicate under Article 17(2), point (b), of Directive 2009/65/EC shall contain all the following: (a) the particular activities and services referred to in Article 6(2) and (3) of Directive 2009/65/EC that will be provided in the host Member State; (b) whether the management company is a member of a group; (c) an explanation of how the branch will contribute to the strategy of the management company, or the management company’s group; (d) a description of the business strategy of the branch; (e) forecast statements of the branch for both, profit or loss and cash flow, for the first 36 months. 3. The description of the organisational structure of the branch to be included in the programme of operations that management companies are to communicate under Article 17(2), point (b), of Directive 2009/65/EC shall contain all the following: (a) functional, geographical, and legal reporting lines; (b) a description of how the branch fits into the internal structure of the management company, or, where the management company is a member of a group, into the internal structure of the group, including details about any operational unit put in place at the level of the branch and an indication of the human resources allocated to the branch; (c) the rules for reporting by the branch to the management company; (d) a description of the risk measurement and management process put in place by the management company at the level of the branch under Articles 40 to 43 of Commission Directive 2010/43/EU ( 5 ) ; (e) a description of the procedures and arrangements taken in accordance with Article 15 of Directive 2009/65/EC; (f) a summary of the systems and controls put in place by the management company at the level of the branch, including all the following: (i) procedures put in place, and the human and material resources allocated, to comply with the rules drawn up by the management company’s host Member State pursuant to Article 14 of Directive 2009/65/EC; (ii) procedures put in place, and the human and material resources allocated, to comply with the anti-money laundering and counter financing of terrorism obligations laid down in Directive (EU) 2015/849 of the European Parliament and of the Council ( 6 ) ; (iii) controls over delegation arrangements with respect to activities conducted by the branch in the host Member State. 4. The information that management companies are to provide under Article 17(2), point (d), of Directive 2009/65/EC about the persons responsible for the management of the branch shall contain the name, position, email address and telephone number of individuals performing key functions in a leading position in relation to the branch.