Document Overview for: AIF Rulebook (updated March 2018)

Table of amendments

AIF Rulebook (updated March 2018)

Table of Amendments

StatusVersionDetailsAffected provisionsEffective dateNotes

Definitions

Table of Amendments

StatusVersionDetailsAmended provisionEffective dateNotes
9
14 March 2018
8
13 March 2017
7
6
5
4
3
2
1

Introduction

Table of Amendments

StatusVersionDetailsAmended provisionEffective dateNotes
8
14 March 2018
7
13 March 2017
6
5
4
3
2
1

Chapter 1 Retail Investor AIF Requirements

Table of Amendments

StatusVersionDetailsAffected provisionsEffective dateNotes
1

Introduction

Table of Amendments

StatusVersionDetailsAmended provisionEffective dateNotes
9
14 March 2018
8
13 March 2017
7
6
5
4
3
2
1

Part I: General rules

Table of Amendments

StatusVersionDetailsAmended provisionEffective dateNotes
1

Section 1: Retail Investor AIF restrictions

Table of Amendments

StatusVersionDetailsAmended provisionEffective dateNotes
1

i. General restrictions

Table of Amendments

StatusVersionDetailsAmended provisionEffective dateNotes
9
14 March 2018
8
13 March 2017
7
6
5
4
3
2
1

ii. Investment restrictions

Table of Amendments

StatusVersionDetailsAmended provisionEffective dateNotes
9
14 March 2018
8
13 March 2017
7
6
5
4
3
2
1

iii. Borrowing powers

Table of Amendments

StatusVersionDetailsAmended provisionEffective dateNotes
9
14 March 2018
8
13 March 2017
7
6
5
4
3
2
1

iv. Financial derivative instruments

Table of Amendments

StatusVersionDetailsAmended provisionEffective dateNotes
9
14 March 2018
8
13 March 2017
7
6
5
4
3
2
1

v. Efficient portfolio management

Table of Amendments

StatusVersionDetailsAmended provisionEffective dateNotes
9
14 March 2018
8
13 March 2017
7
6
5
4
3
2
1

vi. Constitutional documents

Table of Amendments

StatusVersionDetailsAmended provisionEffective dateNotes
9
14 March 2018
8
13 March 2017
7
6
5
4
3
2
1

vii. Valuation

Table of Amendments

StatusVersionDetailsAmended provisionEffective dateNotes
9
14 March 2018
8
13 March 2017
7
6
5
4
3
2
1

viii. Distinction between open-ended Retail Investor AIF and those which are open-ended with limited liquidity arrangements

Table of Amendments

StatusVersionDetailsAmended provisionEffective dateNotes
9
14 March 2018
8
13 March 2017
7
6
5
4
3
2
1

ix. Share classes

Table of Amendments

StatusVersionDetailsAmended provisionEffective dateNotes
9
14 March 2018
8
13 March 2017
7
6
5
4
3
2
1

x. Umbrella Retail Investor AIFs

Table of Amendments

StatusVersionDetailsAmended provisionEffective dateNotes
9
14 March 2018
8
13 March 2017
7
6
5
4
3
2
1

xi. Investment through subsidiary companies

Table of Amendments

StatusVersionDetailsAmended provisionEffective dateNotes
9
14 March 2018
8
13 March 2017
7
6
5
4
3
2
1

xii. Dealings by management company, general partner, depositary, AIFM, investment manager or by delegates or group companies of these

Table of Amendments

StatusVersionDetailsAmended provisionEffective dateNotes
9
14 March 2018
8
13 March 2017
7
6
5
4
3
2
1

xiii. Directed brokerage services and similar arrangements

Table of Amendments

StatusVersionDetailsAmended provisionEffective dateNotes
9
14 March 2018
8
13 March 2017
7
6
5
4
3
2
1

Appendix 1 Calculation of Global Exposure using the VaR methodology

Table of Amendments

StatusVersionDetailsAmended provisionEffective dateNotes
9
14 March 2018
8
13 March 2017
7
6
5
4
3
2
1

Section 2: Supervisory requirements

Table of Amendments

StatusVersionDetailsAmended provisionEffective dateNotes
1

i. General conditions

Table of Amendments

StatusVersionDetailsAmended provisionEffective dateNotes
9
14 March 2018
8
13 March 2017
7
6
5
4
3
2
1

ii. Offer period

Table of Amendments

StatusVersionDetailsAmended provisionEffective dateNotes
9
14 March 2018
8
13 March 2017
7
6
5
4
3
2
1

iii. Directors of Retail Investor AIF investment companies

Table of Amendments

StatusVersionDetailsAmended provisionEffective dateNotes
9
14 March 2018
8
13 March 2017
7
6
5
4
3
2
1

iv. Suspensions

Table of Amendments

StatusVersionDetailsAmended provisionEffective dateNotes
9
14 March 2018
8
13 March 2017
7
6
5
4
3
2
1

v. Replacement of depositary

Table of Amendments

StatusVersionDetailsAmended provisionEffective dateNotes
9
14 March 2018
8
13 March 2017
7
6
5
4
3
2
1

vi. Replacement of AIFM, management company, general partner or third party

Table of Amendments

StatusVersionDetailsAmended provisionEffective dateNotes
9
14 March 2018
8
13 March 2017
7
6
5
4
3
2
1

vii. Monthly and quarterly returns

Table of Amendments

StatusVersionDetailsAmended provisionEffective dateNotes
9
14 March 2018
8
13 March 2017
7
6
5
4
3
2
1

viii. Amalgamation of Retail Investor AIFs with other investment funds

Table of Amendments

StatusVersionDetailsAmended provisionEffective dateNotes
9
14 March 2018
8
13 March 2017
7
6
5
4
3
2
1

Section 3: Prospectus requirements

Table of Amendments

StatusVersionDetailsAmended provisionEffective dateNotes
1

i. General requirements

Table of Amendments

StatusVersionDetailsAmended provisionEffective dateNotes
9
14 March 2018
8
13 March 2017
7
6
5
4
3
2
1

ii. General information concerning the Retail Investor AIF

Table of Amendments

StatusVersionDetailsAmended provisionEffective dateNotes
9
14 March 2018
8
13 March 2017
7
6
5
4
3
2
1

iii. Investment policy

Table of Amendments

StatusVersionDetailsAmended provisionEffective dateNotes
9
14 March 2018
8
13 March 2017
7
6
5
4
3
2
1

iv. Investment in other investment funds

Table of Amendments

StatusVersionDetailsAmended provisionEffective dateNotes
9
14 March 2018
8
13 March 2017
7
6
5
4
3
2
1

v. Efficient portfolio management

Table of Amendments

StatusVersionDetailsAmended provisionEffective dateNotes
9
14 March 2018
8
13 March 2017
7
6
5
4
3
2
1

vi. Valuation

Table of Amendments

StatusVersionDetailsAmended provisionEffective dateNotes
9
14 March 2018
8
13 March 2017
7
6
5
4
3
2
1

vii. Remuneration and costs arising from underlying investments

Table of Amendments

StatusVersionDetailsAmended provisionEffective dateNotes
9
14 March 2018
8
13 March 2017
7
6
5
4
3
2
1

viii. Dealing

Table of Amendments

StatusVersionDetailsAmended provisionEffective dateNotes
9
14 March 2018
8
13 March 2017
7
6
5
4
3
2
1

ix. Information concerning a management company or general partner

Table of Amendments

StatusVersionDetailsAmended provisionEffective dateNotes
9
14 March 2018
8
13 March 2017
7
6
5
4
3
2
1

x. Information concerning investment managers and other service providers

Table of Amendments

StatusVersionDetailsAmended provisionEffective dateNotes
9
14 March 2018
8
13 March 2017
7
6
5
4
3
2
1

xi. Authorisation status

Table of Amendments

StatusVersionDetailsAmended provisionEffective dateNotes
9
14 March 2018
8
13 March 2017
7
6
5
4
3
2
1

xii. Risk disclosures

Table of Amendments

StatusVersionDetailsAmended provisionEffective dateNotes
9
14 March 2018
8
13 March 2017
7
6
5
4
3
2
1

xiii. Conflicts of interest

Table of Amendments

StatusVersionDetailsAmended provisionEffective dateNotes
9
14 March 2018
8
13 March 2017
7
6
5
4
3
2
1

xiv. Directed brokerage services and similar arrangements

Table of Amendments

StatusVersionDetailsAmended provisionEffective dateNotes
9
14 March 2018
8
13 March 2017
7
6
5
4
3
2
1

xv. Umbrella Retail Investor AIFs

Table of Amendments

StatusVersionDetailsAmended provisionEffective dateNotes
9
14 March 2018
8
13 March 2017
7
6
5
4
3
2
1

xvi. Structured Retail Investor AIFs

Table of Amendments

StatusVersionDetailsAmended provisionEffective dateNotes
9
14 March 2018
8
13 March 2017
7
6
5
4
3
2
1

xvii. Warehousing

Table of Amendments

StatusVersionDetailsAmended provisionEffective dateNotes
9
14 March 2018
8
13 March 2017
7
6
5
4
3
2
1

xviii. Distributions out of and charging of fees and expenses to capital

Table of Amendments

StatusVersionDetailsAmended provisionEffective dateNotes
9
14 March 2018
8
13 March 2017
7
6
5
4
3
2
1

xix. Hedged and unhedged Retail Investor AIF and share classes

Table of Amendments

StatusVersionDetailsAmended provisionEffective dateNotes
9
14 March 2018
8
13 March 2017
7
6
5
4
3
2
1

xx. Investment through subsidiaries

Table of Amendments

StatusVersionDetailsAmended provisionEffective dateNotes
9
14 March 2018
8
13 March 2017
7
6
5
4
3
2
1

Section 4: General operational requirements

Table of Amendments

StatusVersionDetailsAmended provisionEffective dateNotes
1

i. Dealing

Table of Amendments

StatusVersionDetailsAmended provisionEffective dateNotes
9
14 March 2018
8
13 March 2017
7
6
5
4
3
2
1

ii. Hedged share classes

Table of Amendments

StatusVersionDetailsAmended provisionEffective dateNotes
9
14 March 2018
8
13 March 2017
7
6
5
4
3
2
1

iii. Regulated markets

Table of Amendments

StatusVersionDetailsAmended provisionEffective dateNotes
9
14 March 2018
8
13 March 2017
7
6
5
4
3
2
1

iv. Directed brokerage services or similar arrangements

Table of Amendments

StatusVersionDetailsAmended provisionEffective dateNotes
9
14 March 2018
8
13 March 2017
7
6
5
4
3
2
1

Section 5: Annual and half-yearly reports

Table of Amendments

StatusVersionDetailsAmended provisionEffective dateNotes
1

i. Publication of annual and half-yearly reports

Table of Amendments

StatusVersionDetailsAmended provisionEffective dateNotes
9
14 March 2018
8
13 March 2017
7
6
5
4
3
2
1

ii. Information to be contained in the annual report

Table of Amendments

StatusVersionDetailsAmended provisionEffective dateNotes
9
14 March 2018
8
13 March 2017
7
6
5
4
3
2
1

iii. Information to be contained in the half-yearly report

Table of Amendments

StatusVersionDetailsAmended provisionEffective dateNotes
9
14 March 2018
8
13 March 2017
7
6
5
4
3
2
1

Part II: Specific Fund-type Requirements

Table of Amendments

StatusVersionDetailsAmended provisionEffective dateNotes
1

Section 1: Venture or development capital or private equity Retail Investor AIFs

Table of Amendments

StatusVersionDetailsAmended provisionEffective dateNotes
9
14 March 2018
8
13 March 2017
7
6
5
4
3
2
1

Section 2: Money market Retail Investor AIFs

Table of Amendments

StatusVersionDetailsAmended provisionEffective dateNotes
9
14 March 2018
8
13 March 2017
7
6
5
4
3
2
1

i. Short-Term Money Market Funds

Table of Amendments

StatusVersionDetailsAmended provisionEffective dateNotes
9
14 March 2018
8
13 March 2017
7
6
5
4
3
2
1

ii. Money Market Funds

Table of Amendments

StatusVersionDetailsAmended provisionEffective dateNotes
9
14 March 2018
8
13 March 2017
7
6
5
4
3
2
1

iii. Short-Term Money Market Funds - valuation on the basis of amortised cost

Table of Amendments

StatusVersionDetailsAmended provisionEffective dateNotes
9
14 March 2018
8
13 March 2017
7
6
5
4
3
2
1

iv. European Central Bank reporting requirements

Table of Amendments

StatusVersionDetailsAmended provisionEffective dateNotes
9
14 March 2018
8
13 March 2017
7
6
5
4
3
2
1

Section 3: Real Estate Retail Investor AIFs

Table of Amendments

StatusVersionDetailsAmended provisionEffective dateNotes
9
14 March 2018
8
13 March 2017
7
6
5
4
3
2
1

Section 4: Funds of unregulated funds Retail Investor AIFs

Table of Amendments

StatusVersionDetailsAmended provisionEffective dateNotes
9
14 March 2018
8
13 March 2017
7
6
5
4
3
2
1

Section 5: Retail Investor AIFs which invest more than 30% of net assets in another investment fund

Table of Amendments

StatusVersionDetailsAmended provisionEffective dateNotes
9
14 March 2018
8
13 March 2017
7
6
5
4
3
2
1

Section 6: Closed ended Retail Investor AIFs or open-ended Retail Investor AIFs with limited liquidity

Table of Amendments

StatusVersionDetailsAmended provisionEffective dateNotes
1

i. Closed-ended period

Table of Amendments

StatusVersionDetailsAmended provisionEffective dateNotes
9
14 March 2018
8
13 March 2017
7
6
5
4
3
2
1

ii. Liquidity

Table of Amendments

StatusVersionDetailsAmended provisionEffective dateNotes
9
14 March 2018
8
13 March 2017
7
6
5
4
3
2
1

iii. Changes to existing closed-ended Retail Investor AIFs

Table of Amendments

StatusVersionDetailsAmended provisionEffective dateNotes
9
14 March 2018
8
13 March 2017
7
6
5
4
3
2
1

Section 7: Guaranteed Retail Investor AIFs

Table of Amendments

StatusVersionDetailsAmended provisionEffective dateNotes
9
14 March 2018
8
13 March 2017
7
6
5
4
3
2
1

Section 8: Distributions out of and charging fees and expenses to capital

Table of Amendments

StatusVersionDetailsAmended provisionEffective dateNotes
9
14 March 2018
8
13 March 2017
7
6
5
4
3
2
1

Part III: Marketing of AIF to retail investors

Table of Amendments

StatusVersionDetailsAmended provisionEffective dateNotes
9
14 March 2018
8
13 March 2017
7
6
5
4
3
2
1

Chapter 2 - Qualifying Investor AIF Requirements

Table of Amendments

StatusVersionDetailsAmended provisionEffective dateNotes
1

Introduction:

Table of Amendments

StatusVersionDetailsAmended provisionEffective dateNotes
9
14 March 2018
8
13 March 2017
7
6
5
4
3
2
1

Part I: General rules

Table of Amendments

StatusVersionDetailsAmended provisionEffective dateNotes
1

Section 1: Qualifying Investor AIF restrictions

Table of Amendments

StatusVersionDetailsAmended provisionEffective dateNotes
1

i. General restrictions

Table of Amendments

StatusVersionDetailsAmended provisionEffective dateNotes
9
14 March 2018
8
13 March 2017
7
6
5
4
3
2
1

ii. Constitutional documents

Table of Amendments

StatusVersionDetailsAmended provisionEffective dateNotes
9
14 March 2018
8
13 March 2017
7
6
5
4
3
2
1

iii. Valuation

Table of Amendments

StatusVersionDetailsAmended provisionEffective dateNotes
9
14 March 2018
8
13 March 2017
7
6
5
4
3
2
1

iv. Distinction between open-ended Qualifying Investor AIFs and those which are openended with limited liquidity arrangements

Table of Amendments

StatusVersionDetailsAmended provisionEffective dateNotes
9
14 March 2018
8
13 March 2017
7
6
5
4
3
2
1

v. Share classes

Table of Amendments

StatusVersionDetailsAmended provisionEffective dateNotes
9
14 March 2018
8
13 March 2017
7
6
5
4
3
2
1

vi. Umbrella Qualifying Investor AIFs

Table of Amendments

StatusVersionDetailsAmended provisionEffective dateNotes
9
14 March 2018
8
13 March 2017
7
6
5
4
3
2
1

vii. Investment through subsidiary companies

Table of Amendments

StatusVersionDetailsAmended provisionEffective dateNotes
9
14 March 2018
8
13 March 2017
7
6
5
4
3
2
1

viii. Dealings by management company, general partner, depositary, AIFM, investment manager or by delegates or group companies of these

Table of Amendments

StatusVersionDetailsAmended provisionEffective dateNotes
9
14 March 2018
8
13 March 2017
7
6
5
4
3
2
1

Section 2: Supervisory requirements

Table of Amendments

StatusVersionDetailsAmended provisionEffective dateNotes
1

i. General conditions

Table of Amendments

StatusVersionDetailsAmended provisionEffective dateNotes
9
14 March 2018
8
13 March 2017
7
6
5
4
3
2
1

ii. Offer period

Table of Amendments

StatusVersionDetailsAmended provisionEffective dateNotes
9
14 March 2018
8
13 March 2017
7
6
5
4
3
2
1

iii. Directors of Qualifying Investor AIF investment companies

Table of Amendments

StatusVersionDetailsAmended provisionEffective dateNotes
9
14 March 2018
8
13 March 2017
7
6
5
4
3
2
1

iv. Suspensions

Table of Amendments

StatusVersionDetailsAmended provisionEffective dateNotes
9
14 March 2018
8
13 March 2017
7
6
5
4
3
2
1

v. Replacement of depositary

Table of Amendments

StatusVersionDetailsAmended provisionEffective dateNotes
9
14 March 2018
8
13 March 2017
7
6
5
4
3
2
1

vi. Replacement of AIFM, management company, general partner or third party

Table of Amendments

StatusVersionDetailsAmended provisionEffective dateNotes
9
14 March 2018
8
13 March 2017
7
6
5
4
3
2
1

vii. Monthly and quarterly returns

Table of Amendments

StatusVersionDetailsAmended provisionEffective dateNotes
9
14 March 2018
8
13 March 2017
7
6
5
4
3
2
1

viii. Amalgamation of Qualifying Investor AIFs with other investment funds

Table of Amendments

StatusVersionDetailsAmended provisionEffective dateNotes
9
14 March 2018
8
13 March 2017
7
6
5
4
3
2
1

Section 3: Prospectus requirements

Table of Amendments

StatusVersionDetailsAmended provisionEffective dateNotes
1

i. General requirements

Table of Amendments

StatusVersionDetailsAmended provisionEffective dateNotes
9
14 March 2018
8
13 March 2017
7
6
5
4
3
2
1

ii. General information concerning the Qualifying Investor AIF

Table of Amendments

StatusVersionDetailsAmended provisionEffective dateNotes
9
14 March 2018
8
13 March 2017
7
6
5
4
3
2
1

iii. Investments in other investment funds

Table of Amendments

StatusVersionDetailsAmended provisionEffective dateNotes
9
14 March 2018
8
13 March 2017
7
6
5
4
3
2
1

iv. Dealing

Table of Amendments

StatusVersionDetailsAmended provisionEffective dateNotes
9
14 March 2018
8
13 March 2017
7
6
5
4
3
2
1

v. Information concerning a management company or general partner

Table of Amendments

StatusVersionDetailsAmended provisionEffective dateNotes
9
14 March 2018
8
13 March 2017
7
6
5
4
3
2
1

vi. Information concerning investment managers and other service providers

Table of Amendments

StatusVersionDetailsAmended provisionEffective dateNotes
9
14 March 2018
8
13 March 2017
7
6
5
4
3
2
1

vii. Authorisation status

Table of Amendments

StatusVersionDetailsAmended provisionEffective dateNotes
9
14 March 2018
8
13 March 2017
7
6
5
4
3
2
1

viii. Conflicts of interest

Table of Amendments

StatusVersionDetailsAmended provisionEffective dateNotes
9
14 March 2018
8
13 March 2017
7
6
5
4
3
2
1

ix. Umbrella Qualifying Investor AIFs

Table of Amendments

StatusVersionDetailsAmended provisionEffective dateNotes
9
14 March 2018
8
13 March 2017
7
6
5
4
3
2
1

x. Warehousing

Table of Amendments

StatusVersionDetailsAmended provisionEffective dateNotes
9
14 March 2018
8
13 March 2017
7
6
5
4
3
2
1

xi. Investment through subsidiaries

Table of Amendments

StatusVersionDetailsAmended provisionEffective dateNotes
9
14 March 2018
8
13 March 2017
7
6
5
4
3
2
1

Section 4: General operational requirements

Table of Amendments

StatusVersionDetailsAmended provisionEffective dateNotes
1

i. Financial resources of investment companies

Table of Amendments

StatusVersionDetailsAmended provisionEffective dateNotes
9
14 March 2018
8
13 March 2017
7
6
5
4
3
2
1

ii. Dealing

Table of Amendments

StatusVersionDetailsAmended provisionEffective dateNotes
9
14 March 2018
8
13 March 2017
7
6
5
4
3
2
1

Section 5: Annual and half-yearly reports

Table of Amendments

StatusVersionDetailsAmended provisionEffective dateNotes
1

i. Publication of annual and half-yearly reports

Table of Amendments

StatusVersionDetailsAmended provisionEffective dateNotes
9
14 March 2018
8
13 March 2017
7
6
5
4
3
2
1

ii. Information to be contained in the annual report

Table of Amendments

StatusVersionDetailsAmended provisionEffective dateNotes
9
14 March 2018
8
13 March 2017
7
6
5
4
3
2
1

iii. Information to be contained in the half-yearly report

Table of Amendments

StatusVersionDetailsAmended provisionEffective dateNotes
8
14 March 2018
7
6
5
4
3
2
1

Part II: Specific Fund-Type Requirements

Table of Amendments

StatusVersionDetailsAmended provisionEffective dateNotes
1

Section 1: Money market Qualifying Investor AIFs

Table of Amendments

StatusVersionDetailsAmended provisionEffective dateNotes
9
8
7
6
5
4
3
2
1

i. Short-Term Money Market Funds

Table of Amendments

StatusVersionDetailsAmended provisionEffective dateNotes
9
14 March 2018
8
13 March 2017
7
6
5
4
3
2
1

ii. Money Market Funds

Table of Amendments

StatusVersionDetailsAmended provisionEffective dateNotes
9
14 March 2018
8
13 March 2017
7
6
5
4
3
2
1

iii. Short-Term Money Market Funds - valuation on the basis of amortised cost

Table of Amendments

StatusVersionDetailsAmended provisionEffective dateNotes
9
14 March 2018
8
13 March 2017
7
6
5
4
3
2
1

iv. European Central Bank reporting requirements

Table of Amendments

StatusVersionDetailsAmended provisionEffective dateNotes
9
14 March 2018
8
13 March 2017
7
6
5
4
3
2
1

Section 2: Qualifying Investor AIFs which invest more than 50% of net assets in another investment fund

Table of Amendments

StatusVersionDetailsAmended provisionEffective dateNotes
9
14 March 2018
8
13 March 2017
7
6
5
4
3
2
1

Section 3: Closed-ended Qualifying Investor AIFs and duration of closed-ended Qualifying Investor AIFs

Table of Amendments

StatusVersionDetailsAmended provisionEffective dateNotes
1

i. General requirements

Table of Amendments

StatusVersionDetailsAmended provisionEffective dateNotes
9
14 March 2018
8
13 March 2017
7
6
5
4
3
2
1

ii. Liquidity

Table of Amendments

StatusVersionDetailsAmended provisionEffective dateNotes
9
14 March 2018
8
13 March 2017
7
6
5
4
3
2
1

iii. Changes to existing closed-ended Qualifying Investor AIFs

Table of Amendments

StatusVersionDetailsAmended provisionEffective dateNotes
9
14 March 2018
8
13 March 2017
7
6
5
4
3
2
1

Section 4: Loan originating Qualifying Investor AIF

Table of Amendments

StatusVersionDetailsAmended provisionEffective dateNotes
1

i. General requirements

Table of Amendments

StatusVersionDetailsAmended provisionEffective dateNotes
7
14 March 2018
6
5
4
3
2
1

ii. Credit granting, monitoring and management

Table of Amendments

StatusVersionDetailsAmended provisionEffective dateNotes
7
14 March 2018
6
5
4
3
2
1

iii. Due diligence by investors

Table of Amendments

StatusVersionDetailsAmended provisionEffective dateNotes
7
14 March 2018
6
5
4
3
2
1

iv. Diversification / eligible investments

Table of Amendments

StatusVersionDetailsAmended provisionEffective dateNotes
7
14 March 2018
6
5
4
3
2
1

v. Stress testing

Table of Amendments

StatusVersionDetailsAmended provisionEffective dateNotes
7
14 March 2018
6
5
4
3
2
1

vi. Liquidity and distributions

Table of Amendments

StatusVersionDetailsAmended provisionEffective dateNotes
7
14 March 2018
6
5
4
3
2
1

vii. Leverage

Table of Amendments

StatusVersionDetailsAmended provisionEffective dateNotes
7
14 March 2018
6
5
4
3
2
1

viii. Disclosure

Table of Amendments

StatusVersionDetailsAmended provisionEffective dateNotes
7
14 March 2018
6
5
4
3
2
1

Part III: Additional provisions applicable to Qualifyng Investor AIFS which have a registered AIFM

Table of Amendments

StatusVersionDetailsAmended provisionEffective dateNotes
9
14 March 2018
8
13 March 2017
7
6
5
4
3
2
1

Chapter 3 Alternative Investment Fund Manager Requirements

Table of Amendments

StatusVersionDetailsAmended provisionEffective dateNotes
1

Introduction:

Table of Amendments

StatusVersionDetailsAmended provisionEffective dateNotes
9
14 March 2018
8
13 March 2017
7
6
5
4
3
2
1

AIFMS which are authorised by the Central Bank under the AIFM Regulations

Table of Amendments

StatusVersionDetailsAmended provisionEffective dateNotes
1

i. Operating conditions

Table of Amendments

StatusVersionDetailsAmended provisionEffective dateNotes
9
14 March 2018
8
13 March 2017
7
6
5
4
3
2
1

ii. Remuneration

Table of Amendments

StatusVersionDetailsAmended provisionEffective dateNotes
9
14 March 2018
8
13 March 2017
7
6
5
4
3
2
1

iii. Organisational requirements

Table of Amendments

StatusVersionDetailsAmended provisionEffective dateNotes
9
14 March 2018
8
13 March 2017
7
6
5
4
3
2
1

iv. Directors

Table of Amendments

StatusVersionDetailsAmended provisionEffective dateNotes
9
14 March 2018
8
13 March 2017
7
6
5
4
3
2
1

v. Record keeping requirements

Table of Amendments

StatusVersionDetailsAmended provisionEffective dateNotes
9
14 March 2018
8
13 March 2017
7
6
5
4
3
2
1

vi. Permitted activities

Table of Amendments

StatusVersionDetailsAmended provisionEffective dateNotes
9
14 March 2018
8
13 March 2017
7
6
5
4
3
2
1

vii. Relationship with the Central Bank

Table of Amendments

StatusVersionDetailsAmended provisionEffective dateNotes
9
14 March 2018
8
13 March 2017
7
6
5
4
3
2
1

viii. Financial control and management information

Table of Amendments

StatusVersionDetailsAmended provisionEffective dateNotes
9
14 March 2018
8
13 March 2017
7
6
5
4
3
2
1

Annex I

Table of Amendments

StatusVersionDetailsAmended provisionEffective dateNotes
1

Minimum Capital Requirement Report Notes on Compilation (AIFM)

Table of Amendments

StatusVersionDetailsAmended provisionEffective dateNotes
9
14 March 2018
8
13 March 2017
7
6
5
4
3
2
1

Minimum Capital Requirement Report AIFM

Table of Amendments

StatusVersionDetailsAmended provisionEffective dateNotes
9
14 March 2018
8
13 March 2017
7
6
5
4
3
2
1

Chapter 4 AIF Management Company Requirements

Table of Amendments

StatusVersionDetailsAmended provisionEffective dateNotes
1

Introduction:

Table of Amendments

StatusVersionDetailsAmended provisionEffective dateNotes
9
14 March 2018
8
13 March 2017
7
6
5
4
3
2
1

AIF Management Companies which are not Authorised AIFMs

Table of Amendments

StatusVersionDetailsAmended provisionEffective dateNotes
1

i. Capital requirements

Table of Amendments

StatusVersionDetailsAmended provisionEffective dateNotes
9
14 March 2018
8
13 March 2017
7
6
5
4
3
2
1

ii. Organisational requirements

Table of Amendments

StatusVersionDetailsAmended provisionEffective dateNotes
9
14 March 2018
8
13 March 2017
7
6
5
4
3
2
1

iii. Directors of AIF management companies

Table of Amendments

StatusVersionDetailsAmended provisionEffective dateNotes
9
14 March 2018
8
13 March 2017
7
6
5
4
3
2
1

iv. Resources

Table of Amendments

StatusVersionDetailsAmended provisionEffective dateNotes
9
14 March 2018
8
13 March 2017
7
6
5
4
3
2
1

v. Relationship with the Central Bank

Table of Amendments

StatusVersionDetailsAmended provisionEffective dateNotes
9
14 March 2018
8
13 March 2017
7
6
5
4
3
2
1

Annex I

Table of Amendments

StatusVersionDetailsAmended provisionEffective dateNotes
1

Minimum Capital Requirement Report - Notes on Compilation

Table of Amendments

StatusVersionDetailsAmended provisionEffective dateNotes
9
14 March 2018
8
13 March 2017
7
6
5
4
3
2
1

Mimimum Capital Requirement Report AIF Management Company

Table of Amendments

StatusVersionDetailsAmended provisionEffective dateNotes
9
14 March 2018
8
13 March 2017
7
6
5
4
3
2
1

Chapter 5 AIF Depositary Requirements

Table of Amendments

StatusVersionDetailsAmended provisionEffective dateNotes
1

Introduction:

Table of Amendments

StatusVersionDetailsAmended provisionEffective dateNotes
9
14 March 2018
8
13 March 2017
7
6
5
4
3
2
1

Depositary Requirements

Table of Amendments

StatusVersionDetailsAmended provisionEffective dateNotes
1

i. Eligibility criteria

Table of Amendments

StatusVersionDetailsAmended provisionEffective dateNotes
9
14 March 2018
8
13 March 2017
7
6
5
4
3
2
1

ii. Conditions applicable to depositaries which fall within Regulation 22(3)(a)(iii) of the AIFM Regulations

Table of Amendments

StatusVersionDetailsAmended provisionEffective dateNotes
9
14 March 2018
8
13 March 2017
7
6
5
4
3
2
1

iii. Depositary tasks

Table of Amendments

StatusVersionDetailsAmended provisionEffective dateNotes
9
14 March 2018
8
13 March 2017
7
6
5
4
3
2
1

iv. Operating conditions

Table of Amendments

StatusVersionDetailsAmended provisionEffective dateNotes
9
14 March 2018
8
13 March 2017
7
6
5
4
3
2
1

v. Delegation

Table of Amendments

StatusVersionDetailsAmended provisionEffective dateNotes
9
14 March 2018
8
13 March 2017
7
6
5
4
3
2
1

vi. Qualifying Investor AIF with a registered AIFM and Professional Investor AIF with a registered AIFM

Table of Amendments

StatusVersionDetailsAmended provisionEffective dateNotes
9
14 March 2018
8
13 March 2017
7
6
5
4
3
2
1

vii. Relationship with the Central Bank

Table of Amendments

StatusVersionDetailsAmended provisionEffective dateNotes
9
14 March 2018
8
13 March 2017
7
6
5
4
3
2
1

Annex I

Table of Amendments

StatusVersionDetailsAmended provisionEffective dateNotes
1

Minimum Capital Requirement Report Notes on Compilation (Depositary)

Table of Amendments

StatusVersionDetailsAmended provisionEffective dateNotes
9
14 March 2018
8
13 March 2017
7
6
5
4
3
2
1

Minimum Capital Requirement Report AIF Depositary

Table of Amendments

StatusVersionDetailsAmended provisionEffective dateNotes
9
14 March 2018
8
13 March 2017
7
6
5
4
3
2
1