Paragraph 26 F1F2
The purpose set out in sub-paragraph (2) is specified for the purposes of Regulation 69A(3).
To specify—
the information to be notified to the FCA under rule 13.5.1 of the Supervision sourcebook by an AIFM to whom sub-paragraph (3) applies, and
standard forms, templates and procedures for the transmission of information in accordance with paragraph (a).
This sub-paragraph applies to AIFMs intending to—
manage portfolios of investments in accordance with discretionary mandates given by investors;
provide services comprising—
investment advice;
safe-keeping and administration in relation to shares or units of collective investment undertakings;
reception and transmission of orders in relation to financial instruments.
Annotations
Textual amendments
- F1
Regulations revoked (14.12.2023 for the revocation of reg. 79) by Financial Services and Markets Act 2023 (c. 29), s. 86(3), Sch. 1 Pt. 2 (with s. 1(4)); S.I. 2023/1382, reg. 2(c)(vi)
- F2
Sch. A1 inserted (31.12.2020) by The Alternative Investment Fund Managers (Amendment etc.) (EU Exit) Regulations 2019 (S.I. 2019/328), regs. 1(3), 15(2) (as amended by S.I. 2019/325, reg. 58 and The Financial Services and Economic and Monetary Policy (Consequential Amendments) (EU Exit) Regulations 2020 (S.I. 2020/1301), regs. 1, 3, Sch. para. 19(b)); 2020 c. 1, Sch. 5 para. 1(1)