|
|
| | Recitals |
| | Chapter I General provisions (arts. 1-5) |
Entered into force | Article 1 Subject matter |
Entered into force | Article 2 Scope |
Entered into force | Article 3 Exemptions |
Amended | Article 4 Definitions |
Entered into force | Article 5 Determination of the AIFM |
| | Chapter II Authorisation of AIFMs (arts. 6-11) |
Entered into force | Article 6 Conditions for taking up activities as AIFM |
Entered into force | Article 7 Application for authorisation |
Entered into force | Article 8 Conditions for granting authorisation |
Entered into force | Article 9 Initial capital and own funds |
Entered into force | Article 10 Changes in the scope of the authorisation |
Entered into force | Article 11 Withdrawal of the authorisation |
| | Chapter III Operating conditions for AIFMs (arts. 12-21) |
| | Section 1 General requirements (arts. 12-17) |
Entered into force | Article 12 General principles |
Entered into force | Article 13 Remuneration |
Entered into force | Article 14 Conflicts of interest |
Amended | Article 15 Risk management |
Entered into force | Article 16 Liquidity management |
Amended | Article 17 Investment in securitisation positions |
| | Section 2 Organisational requirements (arts. 18-19) |
Entered into force | Article 18 General principles |
Entered into force | Article 19 Valuation |
| | Section 3 Delegation of AIFM functions (art. 20) |
Entered into force | Article 20 Delegation |
| | Section 4 Depositary (art. 21) |
Entered into force | Article 21 Depositary |
| | Chapter IV Transparency requirements (arts. 22-24) |
Entered into force | Article 22 Annual report |
Entered into force | Article 23 Disclosure to investors |
Entered into force | Article 24 Reporting obligations to competent authorities |
| | Chapter V AIFMs managing specific types of AIF (arts. 25-30) |
| | Section 1 AIFMs managing leveraged AIFs (art. 25) |
Entered into force | Article 25 Use of information by competent authorities, supervisory cooperation and limits to leverage |
| | Section 2 Obligations for AIFMs managing AIFs which acquire control of non-listed companies and issuers (arts. 26-30) |
Entered into force | Article 26 Scope |
Entered into force | Article 27 Notification of the acquisition of major holdings and control of non-listed companies |
Entered into force | Article 28 Disclosure in case of acquisition of control |
Entered into force | Article 29 Specific provisions regarding the annual report of AIFs exercising control of non-listed companies |
Entered into force | Article 30 Asset stripping |
| | Chapter VI Rights of EU AIFMs to market and manage EU AIFs in the Union (arts. 30a-33) |
Inserted | Article 30a Conditions for pre-marketing in the Union by an EU AIFM |
Entered into force | Article 31 Marketing of units or shares of EU AIFs in the home Member State of the AIFM |
Amended | Article 32 Marketing of units or shares of EU AIFs in Member States other than in the home Member State of the AIFM |
Inserted | Article 32a De-notification of arrangements made for the marketing of units or shares of some or all EU AIFs in the Member States other than in the home Member State of the AIFM |
Amended | Article 33 Conditions for managing EU AIFs established in other Member States and for providing services in other Member States |
| | Chapter VII Specific rules in relation to third countries (arts. 34-42) |
Entered into force | Article 34 Conditions for EU AIFMs which manage non-EU AIFs which are not marketed in Member States |
Entered into force | Article 35 Conditions for the marketing in the Union with a passport of a non-EU AIF managed by an EU AIFM |
Entered into force | Article 36 Conditions for the marketing in Member States without a passport of non-EU AIFs managed by an EU AIFM |
Entered into force | Article 37 Authorisation of non-EU AIFMs intending to manage EU AIFs and/or market AIFs managed by them in the Union in accordance with Article 39 or 40 |
Entered into force | Article 38 Peer review of authorisation and supervision of non-EU AIFMs |
Entered into force | Article 39 Conditions for the marketing in the Union with a passport of EU AIFs managed by a non-EU AIFM |
Entered into force | Article 40 Conditions for the marketing in the Union with a passport of non-EU AIFs managed by a non-EU AIFM |
Entered into force | Article 41 Conditions for managing AIFs established in Member States other than the Member State of reference by non-EU AIFMs |
Entered into force | Article 42 Conditions for the marketing in Member States without a passport of AIFs managed by a non-EU AIFM |
| | Chapter VIII Marketing to retail investors (arts. 43-43a) |
Entered into force | Article 43 Marketing of AIFs by AIFMs to retail investors |
Inserted | Article 43a Facilities available to retail investors |
| | Chapter IX Competent authorities (arts. 44-55) |
| | Section 1 Designation, powers and redress procedures (arts. 44-49) |
Entered into force | Article 44 Designation of competent authorities |
Entered into force | Article 45 Responsibility of competent authorities in Member States |
Entered into force | Article 46 Powers of competent authorities |
Entered into force | Article 47 Powers and competences of ESMA |
Entered into force | Article 48 Administrative penalties |
Entered into force | Article 49 Right of appeal |
| | Section 2 Cooperation between different competent authorities (arts. 50-55) |
Entered into force | Article 50 Obligation to cooperate |
Entered into force | Article 51 Transfer and retention of personal data |
Entered into force | Article 52 Disclosure of information to third countries |
Entered into force | Article 53 Exchange of information relating to the potential systemic consequences of AIFM activity |
Entered into force | Article 54 Cooperation in supervisory activities |
Entered into force | Article 55 Dispute settlement |
| | Chapter X Transitional and final provisions (arts. 56-71) |
Entered into force | Article 56 Exercise of the delegation |
Entered into force | Article 57 Revocation of the delegation |
Entered into force | Article 58 Objections to delegated acts |
Entered into force | Article 59 Implementing measures |
Entered into force | Article 60 Disclosure of derogations |
Entered into force | Article 61 Transitional provisions |
Repealed | Article 62 Amendments to Directive 2003/41/EC |
Entered into force | Article 63 Amendments to Directive 2009/65/EC |
Entered into force | Article 64 Amendment to Regulation (EC) No 1060/2009 |
Entered into force | Article 65 Amendment to Regulation (EU) No 1095/2010 |
Entered into force | Article 66 Transposition |
Entered into force | Article 67 Delegated act on the application of Article 35 and Articles 37 to 41 |
Entered into force | Article 68 Delegated act on the termination of the application of Articles 36 and 42 |
Entered into force | Article 69 Review |
Inserted | Article 69a Assessment of the passport regime |
Entered into force | Article 70 Entry into force |
Entered into force | Article 71 Addressees |
| | Annexes |
Entered into force | Annex I |
Entered into force | Annex II Remuneration Policy |
Entered into force | Annex III Documentation and information to be provided in case of intended marketing in the home Member State of the AIFM |
Amended | Annex IV Documentation and information to be provided in the case of intended marketing in Member States other than the home Member State of the AIFM |
| | Done at |
