{
  "url": "https://openlegislation.uk/draft-alternative-investment-fund-managers-regulations-2013",
  "json_url": "https://openlegislation.uk/draft-alternative-investment-fund-managers-regulations-2013.json",
  "id": "ukdsi/2013/9780111540206",
  "title": "The Alternative Investment Fund Managers Regulations 2013",
  "short_title": "Alternative Investment Fund Managers 2013",
  "long_title": "These Regulations implement in part Directive 2011/61/EU of the European Parliament and of the Council on Alternative Investment Fund Managers (“AIFMD”), Regulation (EU) No 231/2013 supplementing AIFMD, Regulation (EU) No 345/2013 on European venture capital funds and Regulation (EU) No 346/2013 on European social entrepreneurship funds, and an element of Directive 2011/89/EU of the European Parliament and of the Council amending Directives 98/78/EC, 2002/87/EC, 2006/48/EC and 2009/138/EC as regards the supplementary supervision of financial entities in a financial conglomerate. The Financial Conduct Authority (“FCA”) is responsible for implementing other parts of AIFMD. A transposition note setting out how AIFMD and Directive 2011/89/EU will be transposed into UK law will be available on HM Treasury’s website (www.hm-treasury.gov.uk).",
  "citation": "Draft 2013, ISBN 9780111540206",
  "type": "ukdsi",
  "year": "2013",
  "number": "9780111540206",
  "version": "current",
  "date": null,
  "revised": false,
  "valid_from": null,
  "extent": null,
  "unapplied_effects": 0,
  "provisions": [
    {
      "path": "introduction",
      "kind": "introduction",
      "number": null,
      "heading": "Introductory text",
      "url": "https://openlegislation.uk/draft-alternative-investment-fund-managers-regulations-2013/introduction",
      "extent": null,
      "status": null,
      "parent": null
    },
    {
      "path": "part/1",
      "kind": "part",
      "number": "1",
      "heading": "Introductory provisions",
      "url": null,
      "extent": null,
      "status": null,
      "parent": null
    },
    {
      "path": "regulation/1",
      "kind": "regulation",
      "number": "1",
      "heading": "Citation and commencement",
      "url": "https://openlegislation.uk/draft-alternative-investment-fund-managers-regulations-2013/regulation-1",
      "extent": null,
      "status": null,
      "parent": "part/1"
    },
    {
      "path": "regulation/2",
      "kind": "regulation",
      "number": "2",
      "heading": "Interpretation",
      "url": "https://openlegislation.uk/draft-alternative-investment-fund-managers-regulations-2013/regulation-2",
      "extent": null,
      "status": null,
      "parent": "part/1"
    },
    {
      "path": "regulation/3",
      "kind": "regulation",
      "number": "3",
      "heading": "Meaning of “AIF”",
      "url": "https://openlegislation.uk/draft-alternative-investment-fund-managers-regulations-2013/regulation-3",
      "extent": null,
      "status": null,
      "parent": "part/1"
    },
    {
      "path": "regulation/4",
      "kind": "regulation",
      "number": "4",
      "heading": "Meaning of “AIFM”, “managing an AIF”, “external AIFM” and “internal AIFM”",
      "url": "https://openlegislation.uk/draft-alternative-investment-fund-managers-regulations-2013/regulation-4",
      "extent": null,
      "status": null,
      "parent": "part/1"
    },
    {
      "path": "part/2",
      "kind": "part",
      "number": "2",
      "heading": "Authorisation of full-scope UK AIFMs",
      "url": null,
      "extent": null,
      "status": null,
      "parent": null
    },
    {
      "path": "regulation/5",
      "kind": "regulation",
      "number": "5",
      "heading": "Applications for Part 4A permission",
      "url": "https://openlegislation.uk/draft-alternative-investment-fund-managers-regulations-2013/regulation-5",
      "extent": null,
      "status": null,
      "parent": "part/2"
    },
    {
      "path": "regulation/6",
      "kind": "regulation",
      "number": "6",
      "heading": "Supplementary provisions about AIFMs",
      "url": "https://openlegislation.uk/draft-alternative-investment-fund-managers-regulations-2013/regulation-6",
      "extent": null,
      "status": null,
      "parent": "part/2"
    },
    {
      "path": "regulation/7",
      "kind": "regulation",
      "number": "7",
      "heading": "Changes in conditions relevant to authorisation",
      "url": "https://openlegislation.uk/draft-alternative-investment-fund-managers-regulations-2013/regulation-7",
      "extent": null,
      "status": null,
      "parent": "part/2"
    },
    {
      "path": "regulation/8",
      "kind": "regulation",
      "number": "8",
      "heading": "Notification to ESMA",
      "url": "https://openlegislation.uk/draft-alternative-investment-fund-managers-regulations-2013/regulation-8",
      "extent": null,
      "status": null,
      "parent": "part/2"
    },
    {
      "path": "part/3",
      "kind": "part",
      "number": "3",
      "heading": "Small AIFMs",
      "url": null,
      "extent": null,
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      "parent": null
    },
    {
      "path": "regulation/9",
      "kind": "regulation",
      "number": "9",
      "heading": "Meaning of “small AIFM”",
      "url": "https://openlegislation.uk/draft-alternative-investment-fund-managers-regulations-2013/regulation-9",
      "extent": null,
      "status": null,
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    },
    {
      "path": "regulation/10",
      "kind": "regulation",
      "number": "10",
      "heading": "Small registered UK AIFMs",
      "url": "https://openlegislation.uk/draft-alternative-investment-fund-managers-regulations-2013/regulation-10",
      "extent": null,
      "status": null,
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    },
    {
      "path": "regulation/11",
      "kind": "regulation",
      "number": "11",
      "heading": "Applications for entry on register of small registered UK AIFMs",
      "url": "https://openlegislation.uk/draft-alternative-investment-fund-managers-regulations-2013/regulation-11",
      "extent": null,
      "status": null,
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    },
    {
      "path": "regulation/12",
      "kind": "regulation",
      "number": "12",
      "heading": "Determination of applications",
      "url": "https://openlegislation.uk/draft-alternative-investment-fund-managers-regulations-2013/regulation-12",
      "extent": null,
      "status": null,
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    },
    {
      "path": "regulation/13",
      "kind": "regulation",
      "number": "13",
      "heading": "Procedure when refusing an application",
      "url": "https://openlegislation.uk/draft-alternative-investment-fund-managers-regulations-2013/regulation-13",
      "extent": null,
      "status": null,
      "parent": "part/3"
    },
    {
      "path": "regulation/14",
      "kind": "regulation",
      "number": "14",
      "heading": "Notification of new funds under the EuSEF Regulation or the EuVECA Regulation",
      "url": "https://openlegislation.uk/draft-alternative-investment-fund-managers-regulations-2013/regulation-14",
      "extent": null,
      "status": null,
      "parent": "part/3"
    },
    {
      "path": "regulation/15",
      "kind": "regulation",
      "number": "15",
      "heading": "Small registered AIFMs ceasing to meet the requirements for registration",
      "url": "https://openlegislation.uk/draft-alternative-investment-fund-managers-regulations-2013/regulation-15",
      "extent": null,
      "status": null,
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    },
    {
      "path": "regulation/16",
      "kind": "regulation",
      "number": "16",
      "heading": "Applications for revocation of registration",
      "url": "https://openlegislation.uk/draft-alternative-investment-fund-managers-regulations-2013/regulation-16",
      "extent": null,
      "status": null,
      "parent": "part/3"
    },
    {
      "path": "regulation/17",
      "kind": "regulation",
      "number": "17",
      "heading": "Grounds for revocation of registration",
      "url": "https://openlegislation.uk/draft-alternative-investment-fund-managers-regulations-2013/regulation-17",
      "extent": null,
      "status": null,
      "parent": "part/3"
    },
    {
      "path": "regulation/18",
      "kind": "regulation",
      "number": "18",
      "heading": "Procedure on revocation",
      "url": "https://openlegislation.uk/draft-alternative-investment-fund-managers-regulations-2013/regulation-18",
      "extent": null,
      "status": null,
      "parent": "part/3"
    },
    {
      "path": "regulation/19",
      "kind": "regulation",
      "number": "19",
      "heading": "Grounds for suspension of registration",
      "url": "https://openlegislation.uk/draft-alternative-investment-fund-managers-regulations-2013/regulation-19",
      "extent": null,
      "status": null,
      "parent": "part/3"
    },
    {
      "path": "regulation/20",
      "kind": "regulation",
      "number": "20",
      "heading": "Procedure on suspension",
      "url": "https://openlegislation.uk/draft-alternative-investment-fund-managers-regulations-2013/regulation-20",
      "extent": null,
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    },
    {
      "path": "regulation/21",
      "kind": "regulation",
      "number": "21",
      "heading": "Disclosure obligations of small registered UK AIFMs",
      "url": "https://openlegislation.uk/draft-alternative-investment-fund-managers-regulations-2013/regulation-21",
      "extent": null,
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    },
    {
      "path": "regulation/22",
      "kind": "regulation",
      "number": "22",
      "heading": "Power to direct small registered UK AIFMs and EuSEF and EuVECA Managers to take appropriate measures",
      "url": "https://openlegislation.uk/draft-alternative-investment-fund-managers-regulations-2013/regulation-22",
      "extent": null,
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      "parent": "part/3"
    },
    {
      "path": "regulation/23",
      "kind": "regulation",
      "number": "23",
      "heading": "Application of FCA rules to small authorised UK AIFMs",
      "url": "https://openlegislation.uk/draft-alternative-investment-fund-managers-regulations-2013/regulation-23",
      "extent": null,
      "status": null,
      "parent": "part/3"
    },
    {
      "path": "part/4",
      "kind": "part",
      "number": "4",
      "heading": "Operating conditions for external valuers, full-scope AIFMs and depositaries",
      "url": null,
      "extent": null,
      "status": null,
      "parent": null
    },
    {
      "path": "regulation/24",
      "kind": "regulation",
      "number": "24",
      "heading": "Valuation",
      "url": "https://openlegislation.uk/draft-alternative-investment-fund-managers-regulations-2013/regulation-24",
      "extent": null,
      "status": null,
      "parent": "part/4"
    },
    {
      "path": "regulation/25",
      "kind": "regulation",
      "number": "25",
      "heading": "Disqualification of external valuer",
      "url": "https://openlegislation.uk/draft-alternative-investment-fund-managers-regulations-2013/regulation-25",
      "extent": null,
      "status": null,
      "parent": "part/4"
    },
    {
      "path": "regulation/26",
      "kind": "regulation",
      "number": "26",
      "heading": "Approval for delegation of functions by full-scope UK AIFMs",
      "url": "https://openlegislation.uk/draft-alternative-investment-fund-managers-regulations-2013/regulation-26",
      "extent": null,
      "status": null,
      "parent": "part/4"
    },
    {
      "path": "regulation/27",
      "kind": "regulation",
      "number": "27",
      "heading": "Revocation of approval for delegation",
      "url": "https://openlegislation.uk/draft-alternative-investment-fund-managers-regulations-2013/regulation-27",
      "extent": null,
      "status": null,
      "parent": "part/4"
    },
    {
      "path": "regulation/28",
      "kind": "regulation",
      "number": "28",
      "heading": "Liability following delegation under Article 20 of the directive",
      "url": "https://openlegislation.uk/draft-alternative-investment-fund-managers-regulations-2013/regulation-28",
      "extent": null,
      "status": null,
      "parent": "part/4"
    },
    {
      "path": "regulation/29",
      "kind": "regulation",
      "number": "29",
      "heading": "Depositary liability: general provisions",
      "url": "https://openlegislation.uk/draft-alternative-investment-fund-managers-regulations-2013/regulation-29",
      "extent": null,
      "status": null,
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    },
    {
      "path": "regulation/30",
      "kind": "regulation",
      "number": "30",
      "heading": "Depositary liability for loss of financial instruments held in custody",
      "url": "https://openlegislation.uk/draft-alternative-investment-fund-managers-regulations-2013/regulation-30",
      "extent": null,
      "status": null,
      "parent": "part/4"
    },
    {
      "path": "regulation/31",
      "kind": "regulation",
      "number": "31",
      "heading": "Depositary liability for other losses",
      "url": "https://openlegislation.uk/draft-alternative-investment-fund-managers-regulations-2013/regulation-31",
      "extent": null,
      "status": null,
      "parent": "part/4"
    },
    {
      "path": "regulation/32",
      "kind": "regulation",
      "number": "32",
      "heading": "Depositary liability and third country custodians",
      "url": "https://openlegislation.uk/draft-alternative-investment-fund-managers-regulations-2013/regulation-32",
      "extent": null,
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    },
    {
      "path": "regulation/33",
      "kind": "regulation",
      "number": "33",
      "heading": "Management of third country AIFs",
      "url": "https://openlegislation.uk/draft-alternative-investment-fund-managers-regulations-2013/regulation-33",
      "extent": null,
      "status": null,
      "parent": "part/4"
    },
    {
      "path": "part/5",
      "kind": "part",
      "number": "5",
      "heading": "AIFs which acquire control of non-listed companies and issuers",
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      "parent": null
    },
    {
      "path": "regulation/34",
      "kind": "regulation",
      "number": "34",
      "heading": "Introductory provision",
      "url": "https://openlegislation.uk/draft-alternative-investment-fund-managers-regulations-2013/regulation-34",
      "extent": null,
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      "parent": "part/5"
    },
    {
      "path": "regulation/35",
      "kind": "regulation",
      "number": "35",
      "heading": "Ways of acquiring control or shares",
      "url": "https://openlegislation.uk/draft-alternative-investment-fund-managers-regulations-2013/regulation-35",
      "extent": null,
      "status": null,
      "parent": "part/5"
    },
    {
      "path": "regulation/36",
      "kind": "regulation",
      "number": "36",
      "heading": "Meaning of “control” and calculation of voting rights",
      "url": "https://openlegislation.uk/draft-alternative-investment-fund-managers-regulations-2013/regulation-36",
      "extent": null,
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    },
    {
      "path": "regulation/37",
      "kind": "regulation",
      "number": "37",
      "heading": "Confidential information",
      "url": "https://openlegislation.uk/draft-alternative-investment-fund-managers-regulations-2013/regulation-37",
      "extent": null,
      "status": null,
      "parent": "part/5"
    },
    {
      "path": "regulation/38",
      "kind": "regulation",
      "number": "38",
      "heading": "Notification of the acquisition or disposal of major holdings and control of non-listed companies",
      "url": "https://openlegislation.uk/draft-alternative-investment-fund-managers-regulations-2013/regulation-38",
      "extent": null,
      "status": null,
      "parent": "part/5"
    },
    {
      "path": "regulation/39",
      "kind": "regulation",
      "number": "39",
      "heading": "Disclosure in case of acquisition of control",
      "url": "https://openlegislation.uk/draft-alternative-investment-fund-managers-regulations-2013/regulation-39",
      "extent": null,
      "status": null,
      "parent": "part/5"
    },
    {
      "path": "regulation/40",
      "kind": "regulation",
      "number": "40",
      "heading": "Additional disclosure when control is acquired of non-listed companies",
      "url": "https://openlegislation.uk/draft-alternative-investment-fund-managers-regulations-2013/regulation-40",
      "extent": null,
      "status": null,
      "parent": "part/5"
    },
    {
      "path": "regulation/41",
      "kind": "regulation",
      "number": "41",
      "heading": "Sensitive information",
      "url": "https://openlegislation.uk/draft-alternative-investment-fund-managers-regulations-2013/regulation-41",
      "extent": null,
      "status": null,
      "parent": "part/5"
    },
    {
      "path": "regulation/42",
      "kind": "regulation",
      "number": "42",
      "heading": "Annual report of AIFs exercising control of non-listed companies",
      "url": "https://openlegislation.uk/draft-alternative-investment-fund-managers-regulations-2013/regulation-42",
      "extent": null,
      "status": null,
      "parent": "part/5"
    },
    {
      "path": "regulation/43",
      "kind": "regulation",
      "number": "43",
      "heading": "Asset stripping",
      "url": "https://openlegislation.uk/draft-alternative-investment-fund-managers-regulations-2013/regulation-43",
      "extent": null,
      "status": null,
      "parent": "part/5"
    },
    {
      "path": "regulation/44",
      "kind": "regulation",
      "number": "44",
      "heading": "FCA powers in relation to this Part",
      "url": "https://openlegislation.uk/draft-alternative-investment-fund-managers-regulations-2013/regulation-44",
      "extent": null,
      "status": null,
      "parent": "part/5"
    },
    {
      "path": "part/6",
      "kind": "part",
      "number": "6",
      "heading": "Marketing of AIFs",
      "url": null,
      "extent": null,
      "status": null,
      "parent": null
    },
    {
      "path": "part/6/chapter/1",
      "kind": "chapter",
      "number": "1",
      "heading": "General Provisions",
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      "parent": "part/6"
    },
    {
      "path": "regulation/45",
      "kind": "regulation",
      "number": "45",
      "heading": "References in this Part to an AIFM or an investment firm marketing an AIF",
      "url": "https://openlegislation.uk/draft-alternative-investment-fund-managers-regulations-2013/regulation-45",
      "extent": null,
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      "parent": "part/6/chapter/1"
    },
    {
      "path": "regulation/46",
      "kind": "regulation",
      "number": "46",
      "heading": "Application of the financial promotion and scheme promotion restrictions",
      "url": "https://openlegislation.uk/draft-alternative-investment-fund-managers-regulations-2013/regulation-46",
      "extent": null,
      "status": null,
      "parent": "part/6/chapter/1"
    },
    {
      "path": "regulation/47",
      "kind": "regulation",
      "number": "47",
      "heading": "Marketing at the initiative of the investor",
      "url": "https://openlegislation.uk/draft-alternative-investment-fund-managers-regulations-2013/regulation-47",
      "extent": null,
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      "parent": "part/6/chapter/1"
    },
    {
      "path": "regulation/48",
      "kind": "regulation",
      "number": "48",
      "heading": "Marketing under the designation ‘EuSEF’ or ‘EuVECA’",
      "url": "https://openlegislation.uk/draft-alternative-investment-fund-managers-regulations-2013/regulation-48",
      "extent": null,
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    },
    {
      "path": "regulation/49",
      "kind": "regulation",
      "number": "49",
      "heading": "Marketing by full-scope EEA AIFMs of certain AIFs",
      "url": "https://openlegislation.uk/draft-alternative-investment-fund-managers-regulations-2013/regulation-49",
      "extent": null,
      "status": null,
      "parent": "part/6/chapter/1"
    },
    {
      "path": "regulation/50",
      "kind": "regulation",
      "number": "50",
      "heading": "Marketing by AIFMs of other AIFs",
      "url": "https://openlegislation.uk/draft-alternative-investment-fund-managers-regulations-2013/regulation-50",
      "extent": null,
      "status": null,
      "parent": "part/6/chapter/1"
    },
    {
      "path": "regulation/51",
      "kind": "regulation",
      "number": "51",
      "heading": "Marketing of AIFs by investment firms",
      "url": "https://openlegislation.uk/draft-alternative-investment-fund-managers-regulations-2013/regulation-51",
      "extent": null,
      "status": null,
      "parent": "part/6/chapter/1"
    },
    {
      "path": "regulation/52",
      "kind": "regulation",
      "number": "52",
      "heading": "Contravention by unauthorised person",
      "url": "https://openlegislation.uk/draft-alternative-investment-fund-managers-regulations-2013/regulation-52",
      "extent": null,
      "status": null,
      "parent": "part/6/chapter/1"
    },
    {
      "path": "regulation/53",
      "kind": "regulation",
      "number": "53",
      "heading": "Contravention by authorised person",
      "url": "https://openlegislation.uk/draft-alternative-investment-fund-managers-regulations-2013/regulation-53",
      "extent": null,
      "status": null,
      "parent": "part/6/chapter/1"
    },
    {
      "path": "part/6/chapter/2",
      "kind": "chapter",
      "number": "2",
      "heading": "Marketing of AIFs by full-scope AIFMs",
      "url": null,
      "extent": null,
      "status": null,
      "parent": "part/6"
    },
    {
      "path": "regulation/54",
      "kind": "regulation",
      "number": "54",
      "heading": "FCA approval for marketing",
      "url": "https://openlegislation.uk/draft-alternative-investment-fund-managers-regulations-2013/regulation-54",
      "extent": null,
      "status": null,
      "parent": "part/6/chapter/2"
    },
    {
      "path": "regulation/55",
      "kind": "regulation",
      "number": "55",
      "heading": "Change to information provided with application",
      "url": "https://openlegislation.uk/draft-alternative-investment-fund-managers-regulations-2013/regulation-55",
      "extent": null,
      "status": null,
      "parent": "part/6/chapter/2"
    },
    {
      "path": "regulation/56",
      "kind": "regulation",
      "number": "56",
      "heading": "Suspension or revocation of approval granted to a full-scope EEA AIFM",
      "url": "https://openlegislation.uk/draft-alternative-investment-fund-managers-regulations-2013/regulation-56",
      "extent": null,
      "status": null,
      "parent": "part/6/chapter/2"
    },
    {
      "path": "part/6/chapter/3",
      "kind": "chapter",
      "number": "3",
      "heading": "National Private Placement",
      "url": null,
      "extent": null,
      "status": null,
      "parent": "part/6"
    },
    {
      "path": "regulation/57",
      "kind": "regulation",
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      "heading": "Marketing under Article 36 of the directive",
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