Annex IV Archives | risksystem

Annex IV – too early to critise?

The latest ESMA Report on Trends, Risks and Vulnerabilities (No. 1, 2018)[1] has some interesting comments on the workings of annex IV reporting. Approximately 60% of the AIFs managed or marketed in the EU by authorised asset managers are reporting. According to ESMA “Not all of the data currently reported show an adequate level of […]

May 18, 2018, by administrator

Form PF

The FORM PF is a regulatory reporting requirement whereby hedge fund managers (that are registered with the SEC) with at least $150 million under management must file a FORM PF periodically. Depending on the size of the managers (Assets Under Management) AuM they must file either quarterly or annually. AuM is defined in this instance […]

September 18, 2017, by administrator

Annex IV Feedback

Annex IV – How was it for you? Fund managers affected by the EU’s Alternative Investment Fund Managers Directive (AIFMD) have been preparing for their Annex IV regulatory filing for some time now. For firms that obtained their Variation of Permission (VOP) which enabled them to operate as authorised AIFMs on AIFMD’s implementation deadline of […]

March 4, 2015, by administrator

Large Fines are Coming

Non-compliance with AIFMD risk management obligations could lead to (very) large fines for asset managers As we pointed out last summer in back to the future , but its worth repeating, for the first time in the history of asset management, risk management is on a par with portfolio management as a result of AIFMD. From […]

March 4, 2015, by administrator

Annex IV

As part of AIFMD the European Securities and Markets Authority (ESMA) has introduced compulsory reporting requirements commonly referred to as Annex IV. This will affect every single manager of an Alternative Investment Fund either based in the EU (or EEA) and/or marketing into member states. For the unaware Annex IV reporting is about to begin […]

October 7, 2014, by administrator

Tag: Annex IV

Annex IV – too early to critise?

Form PF

Annex IV Feedback

Large Fines are Coming

Annex IV

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