Firms taking advantage of marketing under AIFMD will be able to market their activities to a wider audience.

Under the Alternative Investment Fund Management Directive (AIFMD), fund managers that manage or market AIFs in the UK or EEA are subject to Annex IV reporting requirements. Firms taking advantage of marketing under AIFMD will be able to market their activities to a wider audience.

The Annex IV reports require submission of information on the fund manager and the fund including investment positions, investors, risk management and leverage. The Annex IV reports must be submitted on an annual, semi-annual, or quarterly basis to the relevant UK or EEA regulator.

Complexity of Annex IV reporting

Navigating Annex IV requirements is complex for firms, particularly for firms that market across multiple jurisdictions throughout the EEA which requires submission of different reports to each relevant member country. Each EEA regulator also has different reporting formats and processes. The Annex IV reporting process therefore requires managing the various technical and processing requirements for each country. Firms may be required to co-ordinate efforts amongst their internal risk, investment management and compliance teams, as well as their fund administrator, for input into the Annex IV reports.

Newgate’s Annex IV reporting solution

Newgate combines our expertise in regulatory reporting with our proprietary software to develop a streamlined and efficient approach to our clients’ reporting needs.

Newgate combines our expertise in regulatory reporting with our proprietary software to develop a streamlined and efficient approach to our clients’ reporting needs.

How we can assist:

• We work with clients to provide a tailored solution to meet their specific requirements.
• We will help you understand the Annex IV reporting requirements and how they apply to you.
• We will work with the clients’ internal teams and fund administrators to deliver a co-ordinated and timely Annex IV reporting solution.
• Newgate can handle your firm’s Annex IV reporting throughout the EU.

Ask us how we can support your Annex IV reporting requirements.