# Instrument Metadata # Output tuned for LLM consumption -- deterministic parse of the # EUR-Lex source, no LLM involved in generation. instrument_id: aifmd celex: "32011L0061" eli: "http://data.europa.eu/eli/dir/2011/61/oj" full_title: Alternative Investment Fund Managers Directive 2011/61/EU short_title: AIFMD instrument_type: directive document_type: directive normative_weight: binding jurisdiction: EU effective_period: from: "2011-07-21" to: null dates: adopted: "2011-06-08" entered_into_force: "2011-07-21" status: in_force legal_status: in_force structure_levels: - title - chapter - article total_articles: 76 total_recitals: 0 total_annexes: 5 definitions_article: 4 chunk_strategy: by_chapter chunks: - /aifmd/chunks/aifmd_t01_general_provisions.md - /aifmd/chunks/aifmd_t02_authorisation_of_aifms.md - /aifmd/chunks/aifmd_t03_ch01_general_requirements.md - /aifmd/chunks/aifmd_t03_ch02_organisational_requirements.md - /aifmd/chunks/aifmd_t03_ch03_delegation_of_aifm_functions.md - /aifmd/chunks/aifmd_t03_ch04_depositary.md - /aifmd/chunks/aifmd_t04_transparency_requirements.md - /aifmd/chunks/aifmd_t05_ch01_aifms_managing_leveraged_aifs.md - /aifmd/chunks/aifmd_t05_ch02_obligations_for_aifms_managing_aifs_whic.md - /aifmd/chunks/aifmd_t06_rights_of_eu_aifms_to_market_and_manage_.md - /aifmd/chunks/aifmd_t07_specific_rules_in_relation_to_third_coun.md - /aifmd/chunks/aifmd_t08_marketing_to_retail_investors.md - /aifmd/chunks/aifmd_t09_ch01_designation_powers_and_redress_procedure.md - /aifmd/chunks/aifmd_t09_ch02_cooperation_between_different_competent_.md - /aifmd/chunks/aifmd_t10_transitional_and_final_provisions.md - /aifmd/chunks/annexes.md key_dates: - date: "1973-07-24" type: citation article: "64" context: "…2004/39/EC, insurance undertakings subject to the First Council Directive 73/239/EEC of 24 July 1973 on the coordination of laws,…" - date: "1983-06-13" type: citation article: "4" context: "…subsidiary, as referred to in Article 1 of the Seventh Council Directive 83/349/EEC of 13 June 1983 on consolidated accounts (1), or a…" - date: "1997-03-03" type: citation article: "12" context: "…6(4), be subject to Directive 97/9/EC of the European Parliament and of the Council of 3 March 1997 on investor-compensation schemes (9).…" - date: "2002-11-05" type: citation article: "64" context: "…as defined in Directive 2002/83/EC of the European Parliament and of the Council of 5 November 2002 concerning life assurance (*2),…" - date: "2003-05-06" type: citation article: "26" context: "…the meaning of Article 2(1) of the Annex to Commission Recommendation 2003/361/EC of 6 May 2003 concerning the definition of micro,…" - date: "2005-11-16" type: citation article: "64" context: "…as defined in Directive 2005/68/EC of the European Parliament and of the Council of 16 November 2005 on reinsurance (*3), UCITS as defined…" - date: "2006-05-17" type: citation article: "22" context: "…accordance with Directive 2006/43/EC of the European Parliament and of the Council of 17 May 2006 on statutory audits of annual…" - date: "2006-06-14" type: citation article: "4" context: "…13 to 16 of Directive 2006/49/EC of the European Parliament and of the Council of 14 June 2006 on the capital adequacy of investment…" - date: "2008-12-19" type: citation article: "4" context: "…meaning of Article 1(2) of Regulation (EC) No 24/2009 of the European Central Bank of 19 December 2008 concerning statistics on the assets…" - date: "2009-07-13" type: citation article: "64" context: "…as defined in Directive 2009/65/EC of the European Parliament and of the Council of 13 July 2009 on the coordination of laws,…" - date: "2009-09-16" type: citation article: "15" context: "…of Regulation (EC) No 1060/2009 of the European Parliament and of the Council of 16 September 2009 on credit rating agencies (10), for…" - date: "2011-06-08" type: citation article: "64" context: "…as defined in Directive 2011/61/EU of the European Parliament and of the Council of 8 June 2011 on Alternative Investment Fund…" - date: "2011-06-08" type: citation article: "65" context: "…by the words ‘Directive 2011/61/EU of the European Parliament and of the Council of 8 June 2011 on Alternative Investment Fund…" - date: "2011-06-08" type: lifecycle context: "Adopted" - date: "2011-07-21" type: lifecycle context: "Entered into force" - date: "2013-07-22" type: deadline article: "61" context: "1. AIFMs performing activities under this Directive before 22 July 2013 shall take all necessary measures to…" - date: "2013-07-22" type: deadline article: "66" context: "1. By 22 July 2013, Member States shall adopt and…" - date: "2013-07-22" type: review article: "38" context: "…outcomes, in accordance with Article 30 of Regulation (EU) No 1095/2010. 2. By 22 July 2013, ESMA shall develop methods to allow…" - date: "2014-07-22" type: deadline article: "43" context: "…that permit the marketing of AIFs to retail investors in their territory shall, by 22 July 2014, inform the Commission and ESMA of:…" - date: "2015-07-22" type: deadline article: "67" context: "1. By 22 July 2015, ESMA shall issue to, the European…" - date: "2017-07-22" type: review article: "69" context: "1. By 22 July 2017, the Commission shall, on the basis…" - date: "2024-04-15" type: deadline article: "61" context: "…Directive. 6. AIFMs managing AIFs that originate loans and that were constituted before 15 April 2024 shall be deemed to comply with…" - date: "2025-04-16" type: deadline article: "16" context: "…management tool for all asset classes, jurisdictions and market conditions. 2h. By 16 April 2025, ESMA shall develop guidelines on the…" - date: "2025-10-16" type: review article: "12" context: "…1. 4. For the purposes of paragraph 1, first subparagraph, point (f), ESMA shall by 16 October 2025 submit a report to the European…" - date: "2026-04-16" type: deadline article: "23" context: "…the uniform application of the rules relating to the name of the AIF, ESMA shall by 16 April 2026 develop guidelines to specify the…" - date: "2026-04-16" type: deadline article: "50" context: "…first subparagraph in accordance with Article 15 of Regulation (EU) No 1095/2010. 7. By 16 April 2026, ESMA shall develop guidelines…" - date: "2026-04-16" type: review article: "69-a" context: "…governing body of the AIFM, where it manages AIFs marketed to retail investors. 2. By 16 April 2026, ESMA shall submit to the Commission…" - date: "2029-04-16" type: deadline article: "61" context: "…2024 shall be deemed to comply with Article 15(4a) to (4d) and Article 16(2a) until 16 April 2029. Until 16 April 2029, where the…" - date: "2029-04-16" type: review article: "69-a" context: "1. By 16 April 2029 and following the report produced by…" - date: "2029-04-16" type: review article: "7" context: "…AIFMs. The register shall be made publicly available in an electronic format. 8. By 16 April 2029, ESMA shall provide the European…" generated_at: "2026-09-08T12:36:52.290Z" articles: - article_number: 1 article_title: Subject matter chunk_file: /aifmd/chunks/aifmd_t01_general_provisions.md path: "Title 1 > Article 1" applies_to_entities: [] topics: - investment_funds - authorisation keywords: - authorisation - aifs - aifms contains: obligations: false prohibitions: false permissions: false definitions: false penalties: false delegated_powers: false implementing_powers: false rts_mandate: false its_mandate: false transitional: false internal_references: [] external_references: [] recitals: [] - article_number: 2 article_title: Scope chunk_file: /aifmd/chunks/aifmd_t01_general_provisions.md path: "Title 1 > Article 2" applies_to_entities: - credit_institutions - member_states - european_central_bank topics: - investment_funds - authorisation - securitisation - pensions keywords: - POS - security - system - scheme - aifs - aifms - eu aif - eu aifm - non-eu aif - non-eu aifm - securitisation special purpose entities contains: obligations: true prohibitions: true permissions: false definitions: false penalties: false delegated_powers: false implementing_powers: false rts_mandate: false its_mandate: false transitional: false internal_references: - target: Article 3 external_references: [] recitals: [] - article_number: 3 article_title: Exemptions chunk_file: /aifmd/chunks/aifmd_t01_general_provisions.md path: "Title 1 > Article 3" applies_to_entities: - member_states - competent_authorities topics: - investment_funds - authorisation - committee_procedure - implementing_acts keywords: - authorisation - POS - ATM - system - ITS - aifs - aifms - competent authorities - control - leverage - parent undertaking contains: obligations: true prohibitions: true permissions: false definitions: true penalties: false delegated_powers: true implementing_powers: true rts_mandate: false its_mandate: false transitional: false internal_references: - target: Article 46 - target: Article 59 paragraph: "2" - target: Article 56 - target: Article 57 - target: Article 58 external_references: [] recitals: [] - article_number: 4 article_title: Definitions chunk_file: /aifmd/chunks/aifmd_t01_general_provisions.md path: "Title 1 > Article 4" applies_to_entities: - credit_institutions - member_states - competent_authorities - european_commission - european_central_bank topics: - investment_funds - authorisation - payment_systems - own_funds - capital_requirements - securitisation - reinsurance - depositary - trading_venues - investor_protection keywords: - API - authorisation - supervision - transaction - transfer - POS - third party - branch - settlement - clearing - ITS - aifs - aifms - carried interest - close links - competent authorities - competent authorities of the eu aif - control - established - eu aif contains: obligations: true prohibitions: false permissions: true definitions: true penalties: false delegated_powers: true implementing_powers: false rts_mandate: true its_mandate: false transitional: false internal_references: - target: Article 4 paragraph: "1" - target: Article 21 paragraph: "3" - target: Article 21 paragraph: "5" - target: Article 6 paragraph: "4" - target: Article 37 paragraph: "4" - target: Article 31 - target: Article 56 - target: Article 57 - target: Article 58 external_references: - instrument_type: directive reference: "2009/65/EC" - instrument_type: directive reference: "2014/65/EU" - instrument_type: directive reference: "2009/65/EC" - instrument_type: regulation reference: "909/2014" - instrument_type: regulation reference: "1095/2010" recitals: [] - article_number: 5 article_title: Determination of the AIFM chunk_file: /aifmd/chunks/aifmd_t01_general_provisions.md path: "Title 1 > Article 5" applies_to_entities: - member_states - competent_authorities topics: - investment_funds - authorisation keywords: - ITS - competent authorities - competent authorities of the eu aif - eu aif - eu aifm - home member state of the aif - home member state of the aifm - non-eu aif - non-eu aifm contains: obligations: true prohibitions: false permissions: false definitions: false penalties: false delegated_powers: false implementing_powers: false rts_mandate: false its_mandate: false transitional: false internal_references: [] external_references: [] recitals: [] - article_number: 6 article_title: Conditions for taking up activities as AIFM chunk_file: /aifmd/chunks/aifmd_t02_authorisation_of_aifms.md path: "Title 2 > Article 6" applies_to_entities: - credit_institutions - member_states - competent_authorities topics: - investment_funds - authorisation - pensions - conflicts_of_interest keywords: - authorisation - ITS - aifs - aifms - competent authorities - established - financial instrument - ucits contains: obligations: true prohibitions: true permissions: true definitions: false penalties: false delegated_powers: false implementing_powers: false rts_mandate: false its_mandate: false transitional: false internal_references: - target: Article 15 - target: Article 16 external_references: - instrument_type: directive reference: "2009/65/EC" - instrument_type: directive reference: "2009/65/EC" - instrument_type: regulation reference: "2016/1011" - instrument_type: directive reference: "2014/65/EU" - instrument_type: directive reference: "2014/65/EU" - instrument_type: directive reference: "2014/65/EU" - instrument_type: directive reference: "2014/65/EU" - instrument_type: directive reference: "2014/65/EU" recitals: [] - article_number: 7 article_title: Application for authorisation chunk_file: /aifmd/chunks/aifmd_t02_authorisation_of_aifms.md path: "Title 2 > Article 7" applies_to_entities: - member_states - competent_authorities - european_commission topics: - investment_funds - authorisation - competent_authorities - depositary - remuneration - risk_management keywords: - authorisation - POS - data - ITS - reporting - aifs - aifms - competent authorities - established - feeder aif - leverage - master aif - qualifying holding - ucits contains: obligations: true prohibitions: true permissions: false definitions: false penalties: false delegated_powers: true implementing_powers: false rts_mandate: false its_mandate: false transitional: false internal_references: - target: Article 13 - target: Article 20 - target: Article 21 - target: Article 23 paragraph: "1" - target: Article 24 paragraph: "2" external_references: - instrument_type: directive reference: "2009/65/EC" - instrument_type: directive reference: "2009/65/EC" recitals: [] - article_number: 8 article_title: Conditions for granting authorisation chunk_file: /aifmd/chunks/aifmd_t02_authorisation_of_aifms.md path: "Title 2 > Article 8" applies_to_entities: - credit_institutions - member_states - competent_authorities - european_commission topics: - investment_funds - authorisation - own_funds - insurance keywords: - API - authorisation - POS - ITS - aifs - aifms - close links - competent authorities - control - home member state of the aif - home member state of the aifm - initial capital - managing aifs - own funds - parent undertaking - qualifying holding - subsidiary - ucits contains: obligations: true prohibitions: true permissions: true definitions: false penalties: false delegated_powers: true implementing_powers: false rts_mandate: true its_mandate: false transitional: false internal_references: - target: Article 9 - target: Article 7 paragraph: "2" - target: Article 7 paragraph: "3" external_references: - instrument_type: directive reference: "2009/65/EC" - instrument_type: regulation reference: "1095/2010" recitals: [] - article_number: 9 article_title: Initial capital and own funds chunk_file: /aifmd/chunks/aifmd_t02_authorisation_of_aifms.md path: "Title 2 > Article 9" applies_to_entities: - credit_institutions - member_states - competent_authorities topics: - investment_funds - authorisation - liability - own_funds - insurance keywords: - API - liability - POS - ITS - aifs - aifms - competent authorities - initial capital - own funds - ucits contains: obligations: true prohibitions: true permissions: true definitions: true penalties: false delegated_powers: true implementing_powers: false rts_mandate: false its_mandate: false transitional: false internal_references: - target: Article 20 - target: Article 56 - target: Article 57 - target: Article 58 external_references: - instrument_type: regulation reference: "2019/2033" - instrument_type: directive reference: "2009/65/EC" recitals: [] - article_number: 10 article_title: Changes in the scope of the authorisation chunk_file: /aifmd/chunks/aifmd_t02_authorisation_of_aifms.md path: "Title 2 > Article 10" applies_to_entities: - member_states - competent_authorities topics: - investment_funds - authorisation keywords: - authorisation - POS - notification - aifms - competent authorities contains: obligations: true prohibitions: false permissions: true definitions: false penalties: false delegated_powers: false implementing_powers: false rts_mandate: false its_mandate: false transitional: false internal_references: - target: Article 7 external_references: [] recitals: [] - article_number: 11 article_title: Withdrawal of the authorisation chunk_file: /aifmd/chunks/aifmd_t02_authorisation_of_aifms.md path: "Title 2 > Article 11" applies_to_entities: - member_states - competent_authorities topics: - investment_funds - authorisation keywords: - authorisation - system - ITS - competent authorities - home member state of the aif - home member state of the aifm contains: obligations: false prohibitions: false permissions: true definitions: true penalties: false delegated_powers: false implementing_powers: false rts_mandate: false its_mandate: false transitional: false internal_references: - target: Article 6 paragraph: "4" external_references: [] recitals: [] - article_number: 12 article_title: General principles chunk_file: /aifmd/chunks/aifmd_t03_ch01_general_requirements.md path: "Title 3 > Chapter 1 > Article 12" applies_to_entities: - member_states - competent_authorities - european_commission topics: - investment_funds - authorisation - competent_authorities - conflicts_of_interest keywords: - authorisation - supervision - POS - ATM - data - scheme - ITS - aifs - aifms - competent authorities contains: obligations: true prohibitions: false permissions: false definitions: true penalties: false delegated_powers: true implementing_powers: false rts_mandate: false its_mandate: false transitional: false internal_references: - target: Article 6 paragraph: "4" - target: Article 56 - target: Article 57 - target: Article 58 - target: Article 46 paragraph: "2" external_references: - instrument_type: regulation reference: "1095/2010" - instrument_type: regulation reference: "1095/2010" recitals: [] - article_number: 13 article_title: Remuneration chunk_file: /aifmd/chunks/aifmd_t03_ch01_general_requirements.md path: "Title 3 > Chapter 1 > Article 13" applies_to_entities: - member_states - competent_authorities - european_banking_authority topics: - investment_funds - remuneration keywords: - EBA - guidelines - aifs - aifms - control contains: obligations: true prohibitions: false permissions: false definitions: false penalties: false delegated_powers: false implementing_powers: false rts_mandate: false its_mandate: false transitional: false internal_references: [] external_references: [] recitals: [] - article_number: 14 article_title: Conflicts of interest chunk_file: /aifmd/chunks/aifmd_t03_ch01_general_requirements.md path: "Title 3 > Chapter 1 > Article 14" applies_to_entities: - member_states - competent_authorities topics: - investment_funds - liability - depositary - conflicts_of_interest keywords: - transfer - POS - third party - system - ITS - aifs - aifms - competent authorities - control - managing aifs - prime broker - ucits contains: obligations: true prohibitions: false permissions: true definitions: true penalties: false delegated_powers: true implementing_powers: false rts_mandate: false its_mandate: false transitional: false internal_references: - target: Article 20 - target: Article 56 - target: Article 57 - target: Article 58 external_references: - instrument_type: directive reference: "2009/65/EC" recitals: [] - article_number: 15 article_title: Risk management chunk_file: /aifmd/chunks/aifmd_t03_ch01_general_requirements.md path: "Title 3 > Chapter 1 > Article 15" applies_to_entities: - member_states - competent_authorities - consumers topics: - investment_funds - liability - competent_authorities - enforcement - credit_risk - depositary - prospectus - conflicts_of_interest - risk_management keywords: - SCA - API - liability - consumer - transfer - SEPA - POS - system - RTS - ITS - aifs - aifms - competent authorities - control - home member state of the aif - home member state of the aifm - leverage - managing aifs - marketing - ucits contains: obligations: true prohibitions: true permissions: true definitions: true penalties: true delegated_powers: true implementing_powers: false rts_mandate: false its_mandate: false transitional: false internal_references: - target: Article 12 paragraph: "1" - target: Article 4 paragraph: "3" - target: Article 25 paragraph: "3" - target: Article 21 - target: Article 20 - target: Article 23 - target: Article 15 paragraph: "3" - target: Article 56 - target: Article 57 - target: Article 58 external_references: - instrument_type: regulation reference: "1060/2009" - instrument_type: regulation reference: "1060/2009" - instrument_type: directive reference: "2009/138/EC" - instrument_type: directive reference: "2009/65/EC" - instrument_type: directive reference: "2013/34/EU" - instrument_type: directive reference: "2008/48/EC" recitals: [] - article_number: 16 article_title: Liquidity management chunk_file: /aifmd/chunks/aifmd_t03_ch01_general_requirements.md path: "Title 3 > Chapter 1 > Article 16" applies_to_entities: - member_states - competent_authorities - european_commission topics: - investment_funds - authorisation - liquidity_risk keywords: - POS - system - ITS - guidelines - notification - aifs - aifms - competent authorities - established - home member state of the aif - home member state of the aifm - host member state of the aifm - leverage - professional investor - loan-originating aif contains: obligations: true prohibitions: true permissions: true definitions: true penalties: false delegated_powers: true implementing_powers: false rts_mandate: true its_mandate: false transitional: false internal_references: - target: Article 56 - target: Article 57 - target: Article 58 external_references: - instrument_type: directive reference: "2014/65/EU" - instrument_type: regulation reference: "1095/2010" recitals: [] - article_number: 17 article_title: "" chunk_file: /aifmd/chunks/aifmd_t03_ch01_general_requirements.md path: "Title 3 > Chapter 1 > Article 17" applies_to_entities: [] topics: - investment_funds - securitisation keywords: - POS - aifs - aifms contains: obligations: true prohibitions: false permissions: false definitions: false penalties: false delegated_powers: false implementing_powers: false rts_mandate: false its_mandate: false transitional: false internal_references: [] external_references: - instrument_type: regulation reference: "2017/2402" recitals: [] - article_number: 18 article_title: General principles chunk_file: /aifmd/chunks/aifmd_t03_ch02_organisational_requirements.md path: "Title 3 > Chapter 2 > Article 18" applies_to_entities: - member_states - competent_authorities topics: - investment_funds - internal_control keywords: - transaction - data - system - network - ITS - aifs - aifms - competent authorities - control - home member state of the aif - home member state of the aifm contains: obligations: true prohibitions: false permissions: true definitions: true penalties: false delegated_powers: true implementing_powers: false rts_mandate: false its_mandate: false transitional: false internal_references: - target: Article 56 - target: Article 57 - target: Article 58 external_references: - instrument_type: regulation reference: "2022/2554" recitals: [] - article_number: 19 article_title: Valuation chunk_file: /aifmd/chunks/aifmd_t03_ch02_organisational_requirements.md path: "Title 3 > Chapter 2 > Article 19" applies_to_entities: - member_states - competent_authorities topics: - investment_funds - liability - valuation - depositary - remuneration - conflicts_of_interest keywords: - API - liability - SEPA - POS - third party - ITS - aifs - aifms - close links - competent authorities - established - home member state of the aif - home member state of the aifm contains: obligations: true prohibitions: true permissions: true definitions: true penalties: false delegated_powers: true implementing_powers: false rts_mandate: false its_mandate: false transitional: false internal_references: - target: Article 20 paragraph: "1" - target: Article 20 paragraph: "2" - target: Article 20 paragraph: "7" - target: Article 56 - target: Article 57 - target: Article 58 external_references: [] recitals: [] - article_number: 20 article_title: Delegation chunk_file: /aifmd/chunks/aifmd_t03_ch03_delegation_of_aifm_functions.md path: "Title 3 > Chapter 3 > Article 20" applies_to_entities: - member_states - competent_authorities topics: - investment_funds - authorisation - liability - depositary - conflicts_of_interest keywords: - liability - supervision - SEPA - POS - consent - third party - ITS - aifms - competent authorities - home member state of the aif - home member state of the aifm - marketing contains: obligations: true prohibitions: true permissions: true definitions: true penalties: false delegated_powers: true implementing_powers: false rts_mandate: false its_mandate: false transitional: false internal_references: - target: Article 6 paragraph: "4" - target: Article 56 - target: Article 57 - target: Article 58 external_references: - instrument_type: directive reference: "2014/65/EU" - instrument_type: directive reference: "2016/97" recitals: [] - article_number: 21 article_title: Depositary chunk_file: /aifmd/chunks/aifmd_t03_ch04_depositary.md path: "Title 3 > Chapter 4 > Article 21" applies_to_entities: - credit_institutions - member_states - competent_authorities - european_commission topics: - investment_funds - depositary - authorisation - liability - competent_authorities - own_funds - capital_requirements - conflicts_of_interest - committee_procedure - implementing_acts keywords: - API - liability - supervision - transaction - transfer - SEPA - POS - consent - third party - RTS - ITS - notification - aifs - competent authorities - control - established - eu aif - eu aifm - financial instrument - home member state of the aif contains: obligations: true prohibitions: true permissions: true definitions: true penalties: false delegated_powers: true implementing_powers: true rts_mandate: false its_mandate: false transitional: false internal_references: - target: Article 26 - target: Article 4 paragraph: "1" - target: Article 36 paragraph: "1" - target: Article 59 paragraph: "2" - target: Article 19 - target: Article 56 - target: Article 57 - target: Article 58 external_references: - instrument_type: directive reference: "2009/65/EC" - instrument_type: directive reference: "2015/849" - instrument_type: regulation reference: "1095/2010" - instrument_type: regulation reference: "909/2014" recitals: [] - article_number: 22 article_title: Annual report chunk_file: /aifmd/chunks/aifmd_t04_transparency_requirements.md path: "Title 4 > Article 22" applies_to_entities: - member_states - competent_authorities topics: - investment_funds - transparency - information_requirements - remuneration keywords: - SEPA - RTS - ITS - aifs - aifms - carried interest - competent authorities - established - eu aif - home member state of the aif - home member state of the aifm - marketing - non-eu aif contains: obligations: true prohibitions: false permissions: true definitions: true penalties: false delegated_powers: true implementing_powers: false rts_mandate: false its_mandate: false transitional: false internal_references: - target: Article 23 - target: Article 56 - target: Article 57 - target: Article 58 external_references: - instrument_type: directive reference: "2006/43/EC" recitals: [] - article_number: 23 article_title: Disclosure to investors chunk_file: /aifmd/chunks/aifmd_t04_transparency_requirements.md path: "Title 4 > Article 23" applies_to_entities: [] topics: - investment_funds - transparency - information_requirements - liability - liquidity_risk - reinsurance - depositary - prospectus - conflicts_of_interest keywords: - liability - transfer - SEPA - POS - ATM - system - ITS - guidelines - aifs - aifms - established - eu aif - leverage - marketing - master aif - parent undertaking - prime broker - subsidiary contains: obligations: true prohibitions: false permissions: true definitions: true penalties: false delegated_powers: true implementing_powers: false rts_mandate: false its_mandate: false transitional: false internal_references: - target: Article 9 paragraph: "7" - target: Article 19 - target: Article 22 - target: Article 21 paragraph: "13" - target: Article 56 - target: Article 57 - target: Article 58 external_references: [] recitals: [] - article_number: 24 article_title: Reporting obligations to competent authorities chunk_file: /aifmd/chunks/aifmd_t04_transparency_requirements.md path: "Title 4 > Article 24" applies_to_entities: - member_states - competent_authorities topics: - investment_funds - transparency - information_requirements - competent_authorities - market_risk - liquidity_risk keywords: - POS - system - ITS - reporting - aifs - aifms - competent authorities - eu aif - eu aifm - leverage - managing aifs - non-eu aif - non-eu aifm contains: obligations: true prohibitions: false permissions: true definitions: true penalties: false delegated_powers: true implementing_powers: false rts_mandate: false its_mandate: false transitional: false internal_references: - target: Article 15 paragraph: "3" - target: Article 16 paragraph: "1" - target: Article 22 paragraph: "1" - target: Article 56 - target: Article 57 - target: Article 58 external_references: [] recitals: [] - article_number: 25 article_title: "Use of information by competent authorities, supervisory cooperation and limits to leverage" chunk_file: /aifmd/chunks/aifmd_t05_ch01_aifms_managing_leveraged_aifs.md path: "Title 5 > Chapter 1 > Article 25" applies_to_entities: - credit_institutions - member_states - competent_authorities - european_commission topics: - investment_funds - competent_authorities keywords: - POS - system - ITS - EBA - notification - aifs - aifms - competent authorities - established - home member state of the aif - home member state of the aifm - leverage - supervisory authorities contains: obligations: true prohibitions: false permissions: true definitions: true penalties: false delegated_powers: true implementing_powers: false rts_mandate: false its_mandate: false transitional: false internal_references: - target: Article 24 - target: Article 7 - target: Article 50 - target: Article 56 - target: Article 57 - target: Article 58 external_references: - instrument_type: regulation reference: "1094/2010" recitals: [] - article_number: 26 article_title: Scope chunk_file: /aifmd/chunks/aifmd_t05_ch02_obligations_for_aifms_managing_aifs_whic.md path: "Title 5 > Chapter 2 > Article 26" applies_to_entities: - member_states topics: - investment_funds keywords: - POS - ITS - aifs - aifms - control - established - issuer - managing aifs - non-listed company contains: obligations: true prohibitions: true permissions: true definitions: false penalties: false delegated_powers: false implementing_powers: false rts_mandate: false its_mandate: false transitional: false internal_references: - target: Article 27 paragraph: "1" - target: Article 28 paragraph: "1" - target: Article 28 paragraph: "2" - target: Article 28 paragraph: "3" - target: Article 30 - target: Article 4 paragraph: "1" external_references: [] recitals: [] - article_number: 27 article_title: Notification of the acquisition of major holdings and control of non-listed companies chunk_file: /aifmd/chunks/aifmd_t05_ch02_obligations_for_aifms_managing_aifs_whic.md path: "Title 5 > Chapter 2 > Article 27" applies_to_entities: - member_states - competent_authorities topics: - investment_funds keywords: - POS - access - RTS - ITS - notification - competent authorities - control - home member state of the aif - home member state of the aifm - non-listed company - employees’ representatives contains: obligations: true prohibitions: false permissions: true definitions: false penalties: false delegated_powers: false implementing_powers: false rts_mandate: false its_mandate: false transitional: false internal_references: - target: Article 26 paragraph: "1" external_references: [] recitals: [] - article_number: 28 article_title: Disclosure in case of acquisition of control chunk_file: /aifmd/chunks/aifmd_t05_ch02_obligations_for_aifms_managing_aifs_whic.md path: "Title 5 > Chapter 2 > Article 28" applies_to_entities: - member_states - competent_authorities topics: - investment_funds - conflicts_of_interest keywords: - access - RTS - ITS - notification - aifs - aifms - competent authorities - control - established - home member state of the aif - home member state of the aifm - issuer - non-listed company - employees’ representatives contains: obligations: true prohibitions: false permissions: true definitions: false penalties: false delegated_powers: false implementing_powers: false rts_mandate: false its_mandate: false transitional: false internal_references: - target: Article 26 paragraph: "1" external_references: [] recitals: [] - article_number: 29 article_title: Specific provisions regarding the annual report of AIFs exercising control of non-listed companies chunk_file: /aifmd/chunks/aifmd_t05_ch02_obligations_for_aifms_managing_aifs_whic.md path: "Title 5 > Chapter 2 > Article 29" applies_to_entities: - member_states topics: - investment_funds keywords: - RTS - ITS - aifs - control - non-listed company - employees’ representatives contains: obligations: true prohibitions: false permissions: false definitions: false penalties: false delegated_powers: false implementing_powers: false rts_mandate: false its_mandate: false transitional: false internal_references: - target: Article 26 paragraph: "1" - target: Article 22 - target: Article 22 paragraph: "1" external_references: [] recitals: [] - article_number: 30 article_title: Asset stripping chunk_file: /aifmd/chunks/aifmd_t05_ch02_obligations_for_aifms_managing_aifs_whic.md path: "Title 5 > Chapter 2 > Article 30" applies_to_entities: - member_states topics: - investment_funds - authorisation - financial_statements keywords: - API - POS - RTS - ITS - aifms - control - issuer - non-listed company contains: obligations: true prohibitions: true permissions: true definitions: false penalties: false delegated_powers: false implementing_powers: false rts_mandate: false its_mandate: false transitional: false internal_references: - target: Article 26 paragraph: "1" external_references: [] recitals: [] - article_number: 30a article_title: Conditions for pre-marketing in the Union by an EU AIFM chunk_file: /aifmd/chunks/aifmd_t06_rights_of_eu_aifms_to_market_and_manage_.md path: "Title 6 > Article 30a" applies_to_entities: - credit_institutions - member_states - competent_authorities topics: - investment_funds - authorisation - prospectus keywords: - third party - agent - ITS - notification - aifs - aifms - competent authorities - established - eu aif - eu aifm - marketing - pre-marketing - professional investor - ucits contains: obligations: true prohibitions: true permissions: true definitions: true penalties: false delegated_powers: false implementing_powers: false rts_mandate: false its_mandate: false transitional: false internal_references: - target: Article 31 - target: Article 32 external_references: - instrument_type: directive reference: "2014/65/EU" - instrument_type: directive reference: "2013/36/EU" - instrument_type: directive reference: "2009/65/EC" - instrument_type: directive reference: "2009/65/EC" recitals: [] - article_number: 31 article_title: Marketing of units or shares of EU AIFs in the home Member State of the AIFM chunk_file: /aifmd/chunks/aifmd_t06_rights_of_eu_aifms_to_market_and_manage_.md path: "Title 6 > Article 31" applies_to_entities: - member_states - competent_authorities - european_commission topics: - investment_funds - authorisation - competent_authorities keywords: - POS - ITS - notification - aifs - aifms - competent authorities - eu aif - eu aifm - feeder aif - home member state of the aif - home member state of the aifm - marketing - master aif - professional investor contains: obligations: true prohibitions: false permissions: true definitions: false penalties: false delegated_powers: true implementing_powers: false rts_mandate: false its_mandate: true transitional: false internal_references: - target: Article 46 - target: Article 43 paragraph: "1" external_references: - instrument_type: regulation reference: "1095/2010" recitals: [] - article_number: 32 article_title: Marketing of units or shares of EU AIFs in Member States other than in the home Member State of the AIFM chunk_file: /aifmd/chunks/aifmd_t06_rights_of_eu_aifms_to_market_and_manage_.md path: "Title 6 > Article 32" applies_to_entities: - member_states - competent_authorities - european_commission topics: - investment_funds - authorisation keywords: - supervision - ITS - notification - aifs - competent authorities - eu aif - eu aifm - feeder aif - home member state of the aif - home member state of the aifm - host member state of the aifm - marketing - master aif - professional investor contains: obligations: true prohibitions: false permissions: true definitions: false penalties: false delegated_powers: true implementing_powers: false rts_mandate: false its_mandate: true transitional: false internal_references: - target: Article 46 - target: Article 43 paragraph: "1" external_references: - instrument_type: regulation reference: "1095/2010" recitals: [] - article_number: 32a article_title: 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 chunk_file: /aifmd/chunks/aifmd_t06_rights_of_eu_aifms_to_market_and_manage_.md path: "Title 6 > Article 32a" applies_to_entities: - member_states - competent_authorities topics: - investment_funds keywords: - POS - ITS - notification - aifs - competent authorities - eu aif - eu aifm - home member state of the aif - home member state of the aifm - host member state of the aifm - marketing - pre-marketing contains: obligations: true prohibitions: true permissions: true definitions: true penalties: false delegated_powers: false implementing_powers: false rts_mandate: false its_mandate: false transitional: false internal_references: - target: Article 32 - target: Article 22 - target: Article 23 - target: Article 45 - target: Article 45 paragraph: "3" external_references: [] recitals: [] - article_number: 33 article_title: Conditions for managing EU AIFs established in other Member States and for providing services in other Member States chunk_file: /aifmd/chunks/aifmd_t06_rights_of_eu_aifms_to_market_and_manage_.md path: "Title 6 > Article 33" applies_to_entities: - member_states - competent_authorities - european_commission topics: - investment_funds - authorisation keywords: - POS - branch - ITS - notification - aifs - competent authorities - established - eu aif - eu aifm - home member state of the aif - home member state of the aifm - host member state of the aifm contains: obligations: true prohibitions: true permissions: true definitions: false penalties: false delegated_powers: true implementing_powers: false rts_mandate: true its_mandate: true transitional: false internal_references: - target: Article 6 paragraph: "4" - target: Article 46 external_references: - instrument_type: regulation reference: "1095/2010" - instrument_type: regulation reference: "1095/2010" recitals: [] - article_number: 34 article_title: Conditions for EU AIFMs which manage non-EU AIFs which are not marketed in Member States chunk_file: /aifmd/chunks/aifmd_t07_specific_rules_in_relation_to_third_coun.md path: "Title 7 > Article 34" applies_to_entities: - member_states - competent_authorities - european_commission topics: - investment_funds - authorisation keywords: - guidelines - aifs - aifms - competent authorities - established - eu aif - eu aifm - home member state of the aif - home member state of the aifm - non-eu aif - supervisory authorities contains: obligations: true prohibitions: false permissions: true definitions: true penalties: false delegated_powers: true implementing_powers: false rts_mandate: false its_mandate: false transitional: false internal_references: - target: Article 21 - target: Article 56 - target: Article 57 - target: Article 58 external_references: [] recitals: [] - article_number: 35 article_title: Conditions for the marketing in the Union with a passport of a non-EU AIF managed by an EU AIFM chunk_file: /aifmd/chunks/aifmd_t07_specific_rules_in_relation_to_third_coun.md path: "Title 7 > Article 35" applies_to_entities: - member_states - competent_authorities - european_commission topics: - investment_funds - authorisation - passporting keywords: - API - supervision - POS - ITS - guidelines - notification - aifs - aifms - competent authorities - established - eu aif - eu aifm - feeder aif - home member state of the aif - home member state of the aifm - marketing - non-eu aif - professional investor - supervisory authorities contains: obligations: true prohibitions: false permissions: true definitions: true penalties: false delegated_powers: true implementing_powers: false rts_mandate: true its_mandate: true transitional: false internal_references: - target: Article 31 paragraph: "1" - target: Article 50 paragraph: "4" - target: Article 26 - target: Article 46 - target: Article 56 - target: Article 57 - target: Article 58 - target: Article 43 paragraph: "1" external_references: - instrument_type: directive reference: "2015/849" - instrument_type: regulation reference: "1095/2010" - instrument_type: regulation reference: "1095/2010" - instrument_type: regulation reference: "1095/2010" - instrument_type: regulation reference: "1095/2010" recitals: [] - article_number: 36 article_title: Conditions for the marketing in Member States without a passport of non-EU AIFs managed by an EU AIFM chunk_file: /aifmd/chunks/aifmd_t07_specific_rules_in_relation_to_third_coun.md path: "Title 7 > Article 36" applies_to_entities: - member_states - competent_authorities - european_commission topics: - investment_funds - authorisation - passporting keywords: - API - POS - system - ITS - guidelines - aifs - competent authorities - established - eu aif - eu aifm - feeder aif - home member state of the aif - home member state of the aifm - marketing - non-eu aif - professional investor - supervisory authorities contains: obligations: true prohibitions: true permissions: true definitions: true penalties: false delegated_powers: true implementing_powers: false rts_mandate: false its_mandate: false transitional: false internal_references: - target: Article 35 - target: Article 31 paragraph: "1" - target: Article 21 - target: Article 21 paragraph: "7" - target: Article 21 paragraph: "8" - target: Article 21 paragraph: "9" - target: Article 26 - target: Article 56 - target: Article 57 - target: Article 58 external_references: - instrument_type: directive reference: "2015/849" recitals: [] - article_number: 37 article_title: 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 chunk_file: /aifmd/chunks/aifmd_t07_specific_rules_in_relation_to_third_coun.md path: "Title 7 > Article 37" applies_to_entities: - member_states - competent_authorities - european_commission topics: - investment_funds - authorisation - data_protection - competent_authorities - internal_control - committee_procedure - implementing_acts - passporting keywords: - API - authorisation - supervision - transfer - POS - data - ITS - guidelines - notification - aifs - aifms - competent authorities - established - eu aif - eu aifm - home member state of the aif - legal representative - marketing - member state of reference - non-eu aif contains: obligations: true prohibitions: true permissions: true definitions: true penalties: false delegated_powers: true implementing_powers: true rts_mandate: true its_mandate: true transitional: false internal_references: - target: Article 39 - target: Article 8 paragraph: "5" - target: Article 26 - target: Article 7 paragraph: "2" - target: Article 7 paragraph: "3" - target: Article 8 paragraph: "1" - target: Article 37 paragraph: "8" - target: Article 59 paragraph: "2" - target: Article 56 - target: Article 57 - target: Article 58 - target: Article 22 - target: Article 23 - target: Article 24 external_references: - instrument_type: regulation reference: "1095/2010" - instrument_type: directive reference: "2015/849" - instrument_type: regulation reference: "1095/2010" - instrument_type: regulation reference: "1095/2010" - instrument_type: regulation reference: "1095/2010" - instrument_type: regulation reference: "1095/2010" - instrument_type: regulation reference: "1095/2010" recitals: [] - article_number: 38 article_title: Peer review of authorisation and supervision of non-EU AIFMs chunk_file: /aifmd/chunks/aifmd_t07_specific_rules_in_relation_to_third_coun.md path: "Title 7 > Article 38" applies_to_entities: - competent_authorities - european_commission topics: - investment_funds - authorisation - competent_authorities - enforcement - implementing_acts keywords: - authorisation - supervision - POS - RTS - ITS - guidelines - aifms - competent authorities - eu aif - eu aifm - non-eu aif - non-eu aifm contains: obligations: true prohibitions: false permissions: true definitions: false penalties: true delegated_powers: false implementing_powers: false rts_mandate: false its_mandate: true transitional: false internal_references: - target: Article 37 - target: Article 39 - target: Article 40 - target: Article 41 - target: Article 69 external_references: - instrument_type: regulation reference: "1095/2010" - instrument_type: regulation reference: "1095/2010" - instrument_type: regulation reference: "1095/2010" recitals: [] - article_number: 39 article_title: Conditions for the marketing in the Union with a passport of EU AIFs managed by a non-EU AIFM chunk_file: /aifmd/chunks/aifmd_t07_specific_rules_in_relation_to_third_coun.md path: "Title 7 > Article 39" applies_to_entities: - member_states - competent_authorities - european_commission topics: - investment_funds - authorisation - passporting keywords: - supervision - POS - ITS - notification - aifs - competent authorities - eu aif - eu aifm - marketing - member state of reference - non-eu aif - non-eu aifm - professional investor contains: obligations: true prohibitions: false permissions: true definitions: false penalties: false delegated_powers: true implementing_powers: false rts_mandate: false its_mandate: true transitional: false internal_references: - target: Article 46 - target: Article 43 paragraph: "1" external_references: - instrument_type: regulation reference: "1095/2010" recitals: [] - article_number: 40 article_title: Conditions for the marketing in the Union with a passport of non-EU AIFs managed by a non-EU AIFM chunk_file: /aifmd/chunks/aifmd_t07_specific_rules_in_relation_to_third_coun.md path: "Title 7 > Article 40" applies_to_entities: - member_states - competent_authorities - european_commission topics: - investment_funds - authorisation - passporting keywords: - API - supervision - POS - ITS - guidelines - notification - aifs - aifms - competent authorities - established - eu aif - eu aifm - marketing - member state of reference - non-eu aif - non-eu aifm - professional investor contains: obligations: true prohibitions: false permissions: true definitions: true penalties: false delegated_powers: true implementing_powers: false rts_mandate: true its_mandate: true transitional: false internal_references: - target: Article 26 - target: Article 46 - target: Article 56 - target: Article 57 - target: Article 58 - target: Article 43 paragraph: "1" external_references: - instrument_type: directive reference: "2015/849" - instrument_type: regulation reference: "1095/2010" - instrument_type: regulation reference: "1095/2010" - instrument_type: regulation reference: "1095/2010" recitals: [] - article_number: 41 article_title: Conditions for managing AIFs established in Member States other than the Member State of reference by non-EU AIFMs chunk_file: /aifmd/chunks/aifmd_t07_specific_rules_in_relation_to_third_coun.md path: "Title 7 > Article 41" applies_to_entities: - member_states - competent_authorities - european_commission topics: - investment_funds - authorisation keywords: - POS - branch - ITS - notification - aifs - aifms - competent authorities - established - eu aif - eu aifm - home member state of the aif - managing aifs - marketing - member state of reference - non-eu aif - non-eu aifm contains: obligations: true prohibitions: true permissions: true definitions: false penalties: false delegated_powers: true implementing_powers: false rts_mandate: true its_mandate: true transitional: false internal_references: - target: Article 46 external_references: - instrument_type: regulation reference: "1095/2010" - instrument_type: regulation reference: "1095/2010" recitals: [] - article_number: 42 article_title: Conditions for the marketing in Member States without a passport of AIFs managed by a non-EU AIFM chunk_file: /aifmd/chunks/aifmd_t07_specific_rules_in_relation_to_third_coun.md path: "Title 7 > Article 42" applies_to_entities: - member_states - competent_authorities - european_commission topics: - investment_funds - passporting keywords: - API - POS - system - ITS - guidelines - aifs - aifms - competent authorities - competent authorities of the eu aif - established - eu aif - eu aifm - marketing - non-eu aif - non-eu aifm - professional investor - supervisory authorities contains: obligations: true prohibitions: false permissions: true definitions: true penalties: false delegated_powers: true implementing_powers: false rts_mandate: false its_mandate: false transitional: false internal_references: - target: Article 37 - target: Article 39 - target: Article 40 - target: Article 22 - target: Article 23 - target: Article 24 - target: Article 26 - target: Article 27 - target: Article 28 - target: Article 29 - target: Article 30 - target: Article 26 paragraph: "1" - target: Article 56 - target: Article 57 - target: Article 58 external_references: - instrument_type: directive reference: "2015/849" - instrument_type: regulation reference: "1095/2010" recitals: [] - article_number: 43 article_title: Marketing of AIFs by AIFMs to retail investors chunk_file: /aifmd/chunks/aifmd_t08_marketing_to_retail_investors.md path: "Title 8 > Article 43" applies_to_entities: - member_states - european_commission topics: - investment_funds - authorisation keywords: - POS - cross-border - scheme - ITS - aifs - aifms - established - eu aif - eu aifm - home member state of the aif - marketing - non-eu aif - professional investor - retail investor contains: obligations: true prohibitions: true permissions: true definitions: false penalties: false delegated_powers: false implementing_powers: false rts_mandate: false its_mandate: false transitional: false internal_references: [] external_references: [] recitals: [] - article_number: 43a article_title: Facilities available to retail investors chunk_file: /aifmd/chunks/aifmd_t08_marketing_to_retail_investors.md path: "Title 8 > Article 43a" applies_to_entities: - member_states - competent_authorities topics: - investment_funds keywords: - supervision - POS - third party - ITS - competent authorities - retail investor contains: obligations: true prohibitions: true permissions: false definitions: false penalties: false delegated_powers: false implementing_powers: false rts_mandate: false its_mandate: false transitional: false internal_references: - target: Article 22 - target: Article 23 external_references: - instrument_type: directive reference: "2009/65/EC" recitals: [] - article_number: 44 article_title: Designation of competent authorities chunk_file: /aifmd/chunks/aifmd_t09_ch01_designation_powers_and_redress_procedure.md path: "Title 9 > Chapter 1 > Article 44" applies_to_entities: - member_states - competent_authorities - european_commission topics: - investment_funds - competent_authorities keywords: - guidelines - aifms - competent authorities contains: obligations: true prohibitions: false permissions: false definitions: false penalties: false delegated_powers: false implementing_powers: false rts_mandate: false its_mandate: false transitional: false internal_references: [] external_references: [] recitals: [] - article_number: 45 article_title: Responsibility of competent authorities in Member States chunk_file: /aifmd/chunks/aifmd_t09_ch01_designation_powers_and_redress_procedure.md path: "Title 9 > Chapter 1 > Article 45" applies_to_entities: - member_states - competent_authorities topics: - investment_funds - authorisation keywords: - authorisation - supervision - transaction - POS - branch - ITS - aifs - aifms - competent authorities - eu aif - eu aifm - home member state of the aif - home member state of the aifm - host member state of the aifm - marketing - member state of reference - non-eu aif - non-eu aifm - supervisory authorities contains: obligations: true prohibitions: true permissions: true definitions: false penalties: false delegated_powers: false implementing_powers: false rts_mandate: false its_mandate: false transitional: false internal_references: - target: Article 12 - target: Article 14 - target: Article 46 - target: Article 48 external_references: - instrument_type: regulation reference: "1095/2010" recitals: [] - article_number: 46 article_title: Powers of competent authorities chunk_file: /aifmd/chunks/aifmd_t09_ch01_designation_powers_and_redress_procedure.md path: "Title 9 > Chapter 1 > Article 46" applies_to_entities: - member_states - competent_authorities topics: - investment_funds - authorisation - competent_authorities - depositary keywords: - authorisation - POS - data - access - RTS - ITS - aifs - aifms - competent authorities - eu aif - eu aifm - financial instrument - member state of reference - non-eu aif - non-eu aifm contains: obligations: true prohibitions: false permissions: false definitions: false penalties: false delegated_powers: false implementing_powers: false rts_mandate: false its_mandate: false transitional: false internal_references: [] external_references: [] recitals: [] - article_number: 47 article_title: Powers and competences of ESMA chunk_file: /aifmd/chunks/aifmd_t09_ch01_designation_powers_and_redress_procedure.md path: "Title 9 > Chapter 1 > Article 47" applies_to_entities: - credit_institutions - member_states - competent_authorities topics: - investment_funds - authorisation keywords: - authorisation - POS - cross-border - system - RTS - ITS - guidelines - reporting - notification - aifs - aifms - competent authorities - eu aif - eu aifm - marketing - member state of reference - non-eu aif - non-eu aifm contains: obligations: true prohibitions: true permissions: true definitions: false penalties: false delegated_powers: false implementing_powers: false rts_mandate: false its_mandate: false transitional: false internal_references: - target: Article 48 paragraph: "3" - target: Article 37 - target: Article 35 - target: Article 39 - target: Article 40 - target: Article 42 external_references: - instrument_type: regulation reference: "1095/2010" - instrument_type: regulation reference: "1095/2010" recitals: [] - article_number: 48 article_title: Administrative penalties chunk_file: /aifmd/chunks/aifmd_t09_ch01_designation_powers_and_redress_procedure.md path: "Title 9 > Chapter 1 > Article 48" applies_to_entities: - member_states - competent_authorities topics: - investment_funds - authorisation - liability - competent_authorities - enforcement keywords: - authorisation - penalty - POS - competent authorities contains: obligations: true prohibitions: false permissions: true definitions: false penalties: true delegated_powers: false implementing_powers: false rts_mandate: false its_mandate: false transitional: false internal_references: [] external_references: [] recitals: [] - article_number: 49 article_title: Right of appeal chunk_file: /aifmd/chunks/aifmd_t09_ch01_designation_powers_and_redress_procedure.md path: "Title 9 > Chapter 1 > Article 49" applies_to_entities: - member_states - competent_authorities topics: - investment_funds - authorisation - competent_authorities keywords: - authorisation - RTS - aifs - aifms - competent authorities contains: obligations: true prohibitions: false permissions: false definitions: false penalties: false delegated_powers: false implementing_powers: false rts_mandate: false its_mandate: false transitional: false internal_references: [] external_references: [] recitals: [] - article_number: 50 article_title: Obligation to cooperate chunk_file: /aifmd/chunks/aifmd_t09_ch02_cooperation_between_different_competent_.md path: "Title 9 > Chapter 2 > Article 50" applies_to_entities: - member_states - competent_authorities - european_commission topics: - investment_funds - competent_authorities - enforcement - liquidity_risk - depositary keywords: - supervision - POS - system - ITS - guidelines - aifms - competent authorities - established - home member state of the aif - home member state of the aifm - host member state of the aifm - supervisory authorities contains: obligations: true prohibitions: false permissions: true definitions: false penalties: true delegated_powers: true implementing_powers: false rts_mandate: true its_mandate: true transitional: false internal_references: - target: Article 35 - target: Article 35 paragraph: "14" - target: Article 37 paragraph: "17" - target: Article 40 paragraph: "14" - target: Article 45 paragraph: "6" - target: Article 46 paragraph: "2" external_references: - instrument_type: regulation reference: "1095/2010" - instrument_type: regulation reference: "1095/2010" recitals: [] - article_number: 51 article_title: Transfer and retention of personal data chunk_file: /aifmd/chunks/aifmd_t09_ch02_cooperation_between_different_competent_.md path: "Title 9 > Chapter 2 > Article 51" applies_to_entities: - member_states - competent_authorities topics: - investment_funds - data_protection - competent_authorities keywords: - transfer - data - competent authorities contains: obligations: true prohibitions: false permissions: false definitions: false penalties: false delegated_powers: false implementing_powers: false rts_mandate: false its_mandate: false transitional: false internal_references: [] external_references: - instrument_type: directive reference: "95/46/EC" recitals: [] - article_number: 52 article_title: Disclosure of information to third countries chunk_file: /aifmd/chunks/aifmd_t09_ch02_cooperation_between_different_competent_.md path: "Title 9 > Chapter 2 > Article 52" applies_to_entities: - member_states - competent_authorities topics: - investment_funds - authorisation keywords: - authorisation - transfer - POS - data - ITS contains: obligations: true prohibitions: true permissions: true definitions: false penalties: false delegated_powers: false implementing_powers: false rts_mandate: false its_mandate: false transitional: false internal_references: [] external_references: - instrument_type: directive reference: "95/46/EC" - instrument_type: directive reference: "95/46/EC" - instrument_type: directive reference: "95/46/EC" recitals: [] - article_number: 53 article_title: Exchange of information relating to the potential systemic consequences of AIFM activity chunk_file: /aifmd/chunks/aifmd_t09_ch02_cooperation_between_different_competent_.md path: "Title 9 > Chapter 2 > Article 53" applies_to_entities: - member_states - competent_authorities - financial_entities topics: - investment_funds - authorisation - committee_procedure - implementing_acts keywords: - authorisation - supervision - system - aifms - competent authorities contains: obligations: true prohibitions: false permissions: false definitions: true penalties: false delegated_powers: true implementing_powers: true rts_mandate: false its_mandate: false transitional: false internal_references: - target: Article 56 - target: Article 57 - target: Article 58 - target: Article 59 paragraph: "2" external_references: - instrument_type: regulation reference: "1095/2010" recitals: [] - article_number: 54 article_title: Cooperation in supervisory activities chunk_file: /aifmd/chunks/aifmd_t09_ch02_cooperation_between_different_competent_.md path: "Title 9 > Chapter 2 > Article 54" applies_to_entities: - member_states - competent_authorities - european_commission topics: - investment_funds - competent_authorities keywords: - security - RTS - ITS - competent authorities - control contains: obligations: true prohibitions: false permissions: true definitions: false penalties: false delegated_powers: true implementing_powers: false rts_mandate: false its_mandate: true transitional: false internal_references: [] external_references: - instrument_type: regulation reference: "1095/2010" recitals: [] - article_number: 55 article_title: Dispute settlement chunk_file: /aifmd/chunks/aifmd_t09_ch02_cooperation_between_different_competent_.md path: "Title 9 > Chapter 2 > Article 55" applies_to_entities: - member_states - competent_authorities topics: - investment_funds keywords: - settlement - competent authorities contains: obligations: false prohibitions: false permissions: true definitions: false penalties: false delegated_powers: false implementing_powers: false rts_mandate: false its_mandate: false transitional: false internal_references: [] external_references: - instrument_type: regulation reference: "1095/2010" recitals: [] - article_number: 56 article_title: Exercise of the delegation chunk_file: /aifmd/chunks/aifmd_t10_transitional_and_final_provisions.md path: "Title 10 > Article 56" applies_to_entities: - european_commission topics: - investment_funds - final_provisions - transitional_provisions keywords: [] contains: obligations: true prohibitions: false permissions: false definitions: false penalties: false delegated_powers: true implementing_powers: false rts_mandate: false its_mandate: false transitional: false internal_references: - target: Article 3 - target: Article 4 - target: Article 9 - target: Article 12 - target: Article 14 - target: Article 15 - target: Article 16 - target: Article 17 - target: Article 18 - target: Article 19 - target: Article 20 - target: Article 21 - target: Article 22 - target: Article 23 - target: Article 24 - target: Article 25 - target: Article 57 - target: Article 58 external_references: [] recitals: [] - article_number: 57 article_title: Revocation of the delegation chunk_file: /aifmd/chunks/aifmd_t10_transitional_and_final_provisions.md path: "Title 10 > Article 57" applies_to_entities: - european_commission topics: - investment_funds - final_provisions - transitional_provisions keywords: - POS contains: obligations: true prohibitions: true permissions: true definitions: false penalties: false delegated_powers: true implementing_powers: false rts_mandate: false its_mandate: false transitional: false internal_references: - target: Article 3 - target: Article 4 - target: Article 9 - target: Article 12 - target: Article 14 - target: Article 15 - target: Article 16 - target: Article 17 - target: Article 18 - target: Article 19 - target: Article 20 - target: Article 21 - target: Article 22 - target: Article 23 - target: Article 24 - target: Article 25 external_references: [] recitals: [] - article_number: 58 article_title: Objections to delegated acts chunk_file: /aifmd/chunks/aifmd_t10_transitional_and_final_provisions.md path: "Title 10 > Article 58" applies_to_entities: - european_commission topics: - investment_funds - final_provisions - transitional_provisions keywords: - notification contains: obligations: true prohibitions: true permissions: true definitions: false penalties: false delegated_powers: true implementing_powers: false rts_mandate: false its_mandate: false transitional: false internal_references: [] external_references: [] recitals: [] - article_number: 59 article_title: Implementing measures chunk_file: /aifmd/chunks/aifmd_t10_transitional_and_final_provisions.md path: "Title 10 > Article 59" applies_to_entities: [] topics: - investment_funds - final_provisions - transitional_provisions - implementing_acts keywords: - established contains: obligations: true prohibitions: false permissions: false definitions: false penalties: false delegated_powers: false implementing_powers: false rts_mandate: false its_mandate: false transitional: false internal_references: [] external_references: [] recitals: [] - article_number: 60 article_title: Disclosure of derogations chunk_file: /aifmd/chunks/aifmd_t10_transitional_and_final_provisions.md path: "Title 10 > Article 60" applies_to_entities: - member_states - european_commission topics: - investment_funds - final_provisions - transitional_provisions keywords: - access contains: obligations: true prohibitions: false permissions: false definitions: true penalties: false delegated_powers: false implementing_powers: false rts_mandate: false its_mandate: false transitional: false internal_references: - target: Article 6 - target: Article 21 external_references: [] recitals: [] - article_number: 61 article_title: Transitional provisions chunk_file: /aifmd/chunks/aifmd_t10_transitional_and_final_provisions.md path: "Title 10 > Article 61" applies_to_entities: - member_states - competent_authorities topics: - investment_funds - final_provisions - transitional_provisions - authorisation - prospectus keywords: - API - authorisation - ITS - aifs - aifms - competent authorities - home member state of the aif - home member state of the aifm - leverage - managing aifs - marketing contains: obligations: true prohibitions: true permissions: true definitions: false penalties: false delegated_powers: false implementing_powers: false rts_mandate: false its_mandate: false transitional: true internal_references: - target: Article 31 - target: Article 32 - target: Article 33 - target: Article 22 - target: Article 26 - target: Article 27 - target: Article 28 - target: Article 29 - target: Article 30 - target: Article 15 paragraph: "3" external_references: [] recitals: [] - article_number: 63 article_title: Amendments to Directive 2009/65/EC chunk_file: /aifmd/chunks/aifmd_t10_transitional_and_final_provisions.md path: "Title 10 > Article 63" applies_to_entities: - european_commission topics: - investment_funds - final_provisions - transitional_provisions - securitisation keywords: - ITS - financial instrument - ucits contains: obligations: true prohibitions: false permissions: true definitions: true penalties: false delegated_powers: true implementing_powers: false rts_mandate: false its_mandate: false transitional: false internal_references: - target: Article 50a - target: Article 112a - target: Article 112b - target: Article 112c - target: Article 112 paragraph: "2" - target: Article 12 - target: Article 14 - target: Article 23 - target: Article 33 - target: Article 43 - target: Article 51 - target: Article 60 - target: Article 61 - target: Article 62 - target: Article 64 - target: Article 75 - target: Article 78 - target: Article 81 - target: Article 95 - target: Article 111 - target: Article 112a paragraph: "1" external_references: - instrument_type: directive reference: "2009/65/EC" - instrument_type: directive reference: "2009/65/EC" recitals: [] - article_number: 64 article_title: Amendment to Regulation (EC) No 1060/2009 chunk_file: /aifmd/chunks/aifmd_t10_transitional_and_final_provisions.md path: "Title 10 > Article 64" applies_to_entities: - credit_institutions topics: - investment_funds - final_provisions - transitional_provisions - insurance - reinsurance - pensions keywords: - transfer - POS - ITS - established - ucits contains: obligations: false prohibitions: false permissions: true definitions: false penalties: false delegated_powers: false implementing_powers: false rts_mandate: false its_mandate: false transitional: false internal_references: - target: Article 4 paragraph: "1" external_references: - instrument_type: regulation reference: "1060/2009" - instrument_type: directive reference: "2009/65/EC" - instrument_type: directive reference: "2009/65/EC" - instrument_type: directive reference: "2011/61/EU" recitals: [] - article_number: 65 article_title: Amendment to Regulation (EU) No 1095/2010 chunk_file: /aifmd/chunks/aifmd_t10_transitional_and_final_provisions.md path: "Title 10 > Article 65" applies_to_entities: [] topics: - investment_funds - final_provisions - transitional_provisions keywords: [] contains: obligations: false prohibitions: false permissions: false definitions: false penalties: false delegated_powers: false implementing_powers: false rts_mandate: false its_mandate: false transitional: false internal_references: [] external_references: - instrument_type: regulation reference: "1095/2010" - instrument_type: directive reference: "2011/61/EU" - instrument_type: regulation reference: "1095/2010" recitals: [] - article_number: 66 article_title: Transposition chunk_file: /aifmd/chunks/aifmd_t10_transitional_and_final_provisions.md path: "Title 10 > Article 66" applies_to_entities: - member_states - european_commission topics: - investment_funds - final_provisions - transitional_provisions keywords: - POS contains: obligations: true prohibitions: false permissions: false definitions: false penalties: false delegated_powers: true implementing_powers: false rts_mandate: false its_mandate: false transitional: false internal_references: - target: Article 35 - target: Article 37 - target: Article 38 - target: Article 39 - target: Article 40 - target: Article 41 - target: Article 67 paragraph: "6" - target: Article 36 - target: Article 42 - target: Article 68 paragraph: "6" external_references: [] recitals: [] - article_number: 67 article_title: Delegated act on the application of Article 35 and Articles 37 to 41 chunk_file: /aifmd/chunks/aifmd_t10_transitional_and_final_provisions.md path: "Title 10 > Article 67" applies_to_entities: - member_states - competent_authorities - european_commission topics: - investment_funds - final_provisions - transitional_provisions - information_requirements - passporting keywords: - supervision - POS - system - ITS - notification - aifs - aifms - competent authorities - established - eu aif - eu aifm - marketing - non-eu aif - non-eu aifm - supervisory authorities contains: obligations: true prohibitions: false permissions: false definitions: true penalties: false delegated_powers: true implementing_powers: false rts_mandate: false its_mandate: false transitional: true internal_references: - target: Article 32 - target: Article 33 - target: Article 36 - target: Article 42 - target: Article 35 - target: Article 37 - target: Article 38 - target: Article 39 - target: Article 40 - target: Article 41 - target: Article 21 - target: Article 22 - target: Article 23 - target: Article 24 - target: Article 26 - target: Article 27 - target: Article 28 - target: Article 29 - target: Article 30 - target: Article 56 - target: Article 57 - target: Article 58 external_references: [] recitals: [] - article_number: 68 article_title: Delegated act on the termination of the application of Articles 36 and 42 chunk_file: /aifmd/chunks/aifmd_t10_transitional_and_final_provisions.md path: "Title 10 > Article 68" applies_to_entities: - member_states - competent_authorities - european_commission topics: - investment_funds - final_provisions - transitional_provisions - competent_authorities - information_requirements - passporting keywords: - supervision - POS - access - system - ITS - notification - aifs - aifms - competent authorities - established - eu aif - eu aifm - marketing - member state of reference - non-eu aif - non-eu aifm - supervisory authorities contains: obligations: true prohibitions: false permissions: false definitions: true penalties: false delegated_powers: true implementing_powers: false rts_mandate: false its_mandate: false transitional: true internal_references: - target: Article 67 paragraph: "6" - target: Article 35 - target: Article 37 - target: Article 38 - target: Article 39 - target: Article 40 - target: Article 41 - target: Article 36 - target: Article 42 - target: Article 21 - target: Article 22 - target: Article 23 - target: Article 24 - target: Article 26 - target: Article 27 - target: Article 28 - target: Article 29 - target: Article 30 - target: Article 56 - target: Article 57 - target: Article 58 external_references: [] recitals: [] - article_number: 69 article_title: Review chunk_file: /aifmd/chunks/aifmd_t10_transitional_and_final_provisions.md path: "Title 10 > Article 69" applies_to_entities: - member_states - competent_authorities - european_commission topics: - investment_funds - final_provisions - transitional_provisions - authorisation - depositary - passporting keywords: - API - authorisation - supervision - POS - access - system - ITS - reporting - aifs - aifms - competent authorities - control - established - eu aif - eu aifm - issuer - marketing - non-eu aif - non-eu aifm - professional investor contains: obligations: true prohibitions: false permissions: false definitions: false penalties: false delegated_powers: false implementing_powers: false rts_mandate: false its_mandate: false transitional: false internal_references: - target: Article 21 - target: Article 22 - target: Article 23 - target: Article 24 - target: Article 26 - target: Article 27 - target: Article 28 - target: Article 29 - target: Article 30 - target: Article 37 external_references: [] recitals: [] - article_number: 69a article_title: Assessment of the passport regime chunk_file: /aifmd/chunks/aifmd_t10_transitional_and_final_provisions.md path: "Title 10 > Article 69a" applies_to_entities: - european_commission topics: - investment_funds - final_provisions - transitional_provisions - passporting keywords: - POS - aifms - eu aif - eu aifm - non-eu aif - non-eu aifm contains: obligations: true prohibitions: false permissions: false definitions: false penalties: false delegated_powers: true implementing_powers: false rts_mandate: false its_mandate: false transitional: true internal_references: - target: Article 67 paragraph: "6" - target: Article 35 - target: Article 37 - target: Article 38 - target: Article 39 - target: Article 40 - target: Article 41 external_references: [] recitals: [] - article_number: 69-a article_title: Other review chunk_file: /aifmd/chunks/aifmd_t10_transitional_and_final_provisions.md path: "Title 10 > Article 69-a" applies_to_entities: - credit_institutions - member_states - competent_authorities - european_commission - european_central_bank topics: - investment_funds - final_provisions - transitional_provisions - authorisation - depositary - conflicts_of_interest keywords: - API - authorisation - POS - data - third party - ITS - reporting - aifs - aifms - competent authorities - established - managing aifs - retail investor contains: obligations: true prohibitions: false permissions: false definitions: false penalties: false delegated_powers: false implementing_powers: false rts_mandate: false its_mandate: false transitional: false internal_references: - target: Article 7 paragraph: "8" - target: Article 7 - target: Article 8 - target: Article 20 - target: Article 15 external_references: [] recitals: [] - article_number: 69b article_title: Accessibility of information on the European single access point chunk_file: /aifmd/chunks/aifmd_t10_transitional_and_final_provisions.md path: "Title 10 > Article 69b" applies_to_entities: [] topics: - investment_funds - final_provisions - transitional_provisions - authorisation - data_protection keywords: - POS - data - access - aifs - established contains: obligations: true prohibitions: false permissions: false definitions: false penalties: false delegated_powers: false implementing_powers: false rts_mandate: false its_mandate: false transitional: false internal_references: - target: Article 7 paragraph: "5" external_references: [] recitals: [] - article_number: 70 article_title: Entry into force chunk_file: /aifmd/chunks/aifmd_t10_transitional_and_final_provisions.md path: "Title 10 > Article 70" applies_to_entities: [] topics: - investment_funds - final_provisions - transitional_provisions keywords: - ITS contains: obligations: true prohibitions: false permissions: false definitions: false penalties: false delegated_powers: false implementing_powers: false rts_mandate: false its_mandate: false transitional: true internal_references: [] external_references: [] recitals: [] - article_number: 71 article_title: Addressees chunk_file: /aifmd/chunks/aifmd_t10_transitional_and_final_provisions.md path: "Title 10 > Article 71" applies_to_entities: - member_states topics: - investment_funds - final_provisions - transitional_provisions keywords: [] contains: obligations: false prohibitions: false permissions: false definitions: false penalties: false delegated_powers: false implementing_powers: false rts_mandate: false its_mandate: false transitional: false internal_references: [] external_references: [] recitals: []