There are several scenarios where AIFMD firms need to notify us about changes. Find out about each one and what you need to do.
Appointment of an external valuer
Full-scope AIFMs must notify us of the intended appointment of a new external valuer in accordance with FUND 3.9.11. Make these notifications via the AIFMD Material Change Form. Email the completed form to [email protected].
Change risk management policy or procedures
Full-scope AIFMs are required to notify us of material changes to their risk management policies, processes or procedures in compliance with AIFMD Level 2, Article 41.
These notifications can be made using the AIFMD material change form. Email the completed form to [email protected].
Non-compliance of the AIF
You must inform us immediately if you are a full-scope external AIFM that is unable to ensure compliance by an AIF you manage, or by another entity on the AIF’s behalf, with an implementing provision for which the AIF is responsible, in accordance with the HMT AIFMD Regulations 6(1).
Send an email describing the situation with the subject title ‘Non-compliance of an AIF’ to [email protected].
Notification of major holdings and control
Full-scope UK AIFMs and above-threshold non-EEA AIFMs wishing to make notifications in respect of Articles 27 and 28 should complete the notification of major holdings and control of EEA non-listed companies and issuers form.
Email these notifications to [email protected].
Other material changes
If you wish to notify us of a change that you deem material which has not been provided for email [email protected] with details of the change.
