Regulatory Reporting Archives

PRIIPs – A Primer

Background As of January 1, 2018 the Packaged Retail Investment and Insurance-based Products (PRIIPs) regulations came into force. PRIIPs extends the consumer protection standards introduced by MiFID II to insurance-based investment products. The objective of the regulations is to increase the efficiency of financial markets and to make consumers more financially aware of product they […]

May 25, 2018, by administrator

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

Tag: Regulatory Reporting

PRIIPs – A Primer

Annex IV – too early to critise?

Form PF

Annex IV Feedback

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