COMMISSION IMPLEMENTING REGULATION (EU) 2024/910
of 15 December 2023
laying down implementing technical standards for the application of Directive 2009/65/EC of the European Parliament and of the Council with regard to the form and content of the information to be notified in respect of the cross-border activities of undertakings for collective investment in transferable securities (UCITS), UCITS management companies, the exchange of information between competent authorities on cross-border notification letters, and amending Commission Regulation (EU) No 584/2010
(Text with EEA relevance)
Article 1
Form and content of standard model notification letters
Article 2
Transmission of the notifications made in accordance with Article 20(1) and Article 17(2) letter (d) of Directive 2009/65/EC
Article 3
Templates to be used for the exchange of information between competent authorities
Article 4
Transmission of notifications between competent authorities
Article 5
Receipt of notifications between competent authorities
Article 6
Amendments to Regulation (EU) No 584/2010
Article 7
Entry into force and application
ANNEX I
Model notification letter to be submitted by a UCITS for the cross-border marketing of UCITS under Article 93(1) of Directive 2009/65/EC
PART 1
Information on the management company or internally managed UCITS
Section 1.
Identification of the management company or internally managed UCITS
Information on the management company or internally managed UCITS |
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Management company or internally managed UCITS(2) |
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Management company’s or internally managed UCITS’ LEI(2) |
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National identification code of the management company or internally managed UCITS (where available)(2) |
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Management company’s or internally managed UCITS’ home Member State(2) |
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Address and registered office/domicile, where different from address |
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Details of management company’s or internally managed UCITS’ website |
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Contact details of the department (or contact point) responsible for the notification letter within the management company or internally managed UCITS |
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Department (or contact point) |
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Telephone number |
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Email address |
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Details of the third party (where a third party is designated by the management company or internally managed UCITS to make the notification) |
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Third party |
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Address and, where different from address, registered office/domicile |
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Department (or contact point) |
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Telephone number |
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Email address |
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Department (or contact point) for the transmission of the invoice or for the communication of any applicable regulatory fee or charges (where applicable)(3) |
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Name of the entity |
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Address and, where different from address, registered office/domicile |
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Department (or contact point) |
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Telephone number |
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Email address |
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Please specify which email address provided in this section (contact point at the management company or internally managed UCITS, contact point within the appointed third party or contact point for the transmission of the invoice) is the preferred address to which the host national competent authority can transmit any confidential information (inter alia, login and password to access the national systems for reporting) |
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Section 2.
Facilities to investors
Tasks |
Information on the facilities performing the tasks |
Name/legal form/registered office/address, email, and telephone number for correspondence of the entity responsible to provide the facilities |
Process subscription and redemption (or repurchase) orders and make other payments to unitholders relating to the units of the UCITS |
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Provide investors with information on how orders can be made and how redemption (or repurchase) proceeds are paid |
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Facilitate the handling of information and access to procedures and arrangements referred to in Article 15 of Directive 2009/65/EC relating to investors’ exercise of their rights |
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Make the information and documents required pursuant to Chapter IX of Directive 2009/65/EC available to investors |
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Provide investors with information relevant to the tasks that the facilities perform in a durable medium |
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Act as a contact point for communicating with the competent authorities |
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PART 2
Information on the UCITS
Section 1.
Identification of the UCITS
Name of the UCITS to be marketed in the host Member State |
UCITS home Member State |
Legal form of the UCITS(4) |
LEI of the UCITS (where available) |
Name of share class(es) to be marketed in the host Member State(5) |
ISIN of share class(es) to be marketed in the host Member State(5) |
Duration of the UCITS (where applicable) |
National identification code of the UCITS (where available) |
Name of the umbrella UCITS (where applicable) |
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Section 2.
Arrangements made for marketing of units of UCITS
Section 3.
Attachments
(1) |
The latest version of the fund rules or instruments of incorporation, and a translation where required by Article 94(1), point (c), of Directive 2009/65/EC. |
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(Title of document or name of electronic file attachment) |
(2) |
The latest version of the prospectus, and a translation where required by Article 94(1), point (c), of Directive 2009/65/EC. |
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(Title of document or name of electronic file attachment) |
(3) |
The latest version of the key investor information, and a translation where required by Article 94(1), point(b), of Directive 2009/65/EC. |
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(Title of document or name of electronic file attachment) |
(4) |
The latest published annual report and any subsequent half-yearly report, and a translation where required by Article 94(1), point (c), of Directive 2009/65/EC (where available). |
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(Title of document or name of electronic file attachment) |
(5) |
Where required by the UCITS host Member State, evidence of payment due to the competent authorities of the host Member State |
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(Title of document or name of electronic file attachment) |
Note: The latest versions of the required documents must be attached to this letter for onward transmission by the competent authorities of the UCITS home Member State, even where copies have been provided to that authority previously. Where any of the documents have previously been sent to the competent authorities of the UCITS host Member State and remain valid, the notification letter may refer to that fact. |
PART 3
Confirmation of completeness
Date |
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Name and capacity of the signatory |
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Signature |
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ANNEX II
Model letter to be submitted by a management company to the competent authorities of the UCITS home Member State under Article 20(1) of Directive 2009/65/EC
PART 1
Information on the management company
Information on the management company |
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Management company(1) |
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Management company’s LEI(1) |
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National identification code of the management company (where available)(1) |
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Management company’s home Member State(1) |
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Address and, where different from address, registered office/domicile |
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Details of management company’s website |
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Contact details of the department (or contact point) responsible for the notification within the management company |
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Department (or contact point) |
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Telephone number |
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Email address |
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Details of the third party (where the management company designates a third party to make the notification) |
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Third party |
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Address and, where different from address, registered office/domicile. |
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Department (or contact point) |
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Telephone number |
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Email address |
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Contact point for the transmission of the invoice or for the communication of any applicable regulatory fee or charges (if applicable)(2) |
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Name of the entity |
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Department (or contact point) |
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Address and, where different from address, registered office/domicile |
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Telephone number |
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Email address |
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Please specify which email address provided in this section (contact point at the management company, contact point within the appointed third party or contact point for the transmission of the invoice) is the preferred address to which the host NCA can transmit any confidential information (inter alia, login and password to access the national systems for reporting) |
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PART 2
Identification of the delegate and the delegated functions
Name of the delegate |
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Delegate’s home Member State |
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Address and registered office/domicile, where different from address |
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Administration
Please describe the reporting line in place between the delegate and the management company |
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PART 3
Attachments
Provide the link to the latest electronic copies of the attachments |
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Date |
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Name and capacity of the signatory |
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Signature |
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ANNEX III
Model for the communication by the competent authorities of a management company’s home Member State to the competent authorities of the management company’s host Member State of information under Article 17(2) or Article 18(1) of Directive 2009/65/EC
PART 1
Information on the management company
Information on the management company |
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Management company(1) |
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Management company’s LEI(1) |
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National identification code of the management company (where available)(1) |
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Management company’s home Member State(1) |
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Address and, where different from address, registered office/domicile |
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Details of management company’s website |
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Contact details of the responsible department (or contact point) within the management company |
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Department (or contact point) |
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Telephone number |
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Email address |
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Details of the third party (where the management company designates a third party to make the notification) |
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Third party |
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Address and, where different from address, registered office/domicile |
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Department (or contact point) |
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Telephone number |
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Email address |
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Contact point for the transmission of the invoice or for the communication of any applicable regulatory fee or charges (where applicable)(2) |
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Name of entity |
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Department (or contact point) |
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Address and, where different from address, registered office/domicile |
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Telephone number |
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Email address |
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Please specify which email address among that specified in this section (contact point at the management company, contact point within the appointed third party or contact point for the transmission of the invoice) is the preferred address to which the host NCA can transmit the confidential information (inter alia, login and password to access the national systems for reporting) |
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PART 2
Information to be provided by the management company pursuant to Article 17(1) and (2) of Directive 2009/65/EC to conduct its activities in the host Member State(s) through a branch
Section 1.
Information on the branch
Identification of the branch |
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Name of the branch(3) |
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National identification code of the branch in management company’s Home Member State (where available)(3) |
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National identification code of the branch in Member State where the branch is established (where available)(3) |
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Address and, where different from address, registered office/domicile(3) |
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Details of the branch’s website (where different from the management company’s website) |
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Department (or contact point) from which documents may be obtained in the Member State where the branch is established |
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Department (or contact point) |
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Address and, where different from address, registered office/domicile |
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Telephone number |
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Email address |
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Section 2.
Programme of operations of the branch
Administration
Non-core services
Please indicate how the branch will contribute to the strategy of the management company |
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Please indicate whether the management company is a member of a group and, in this case, how the branch will contribute to the strategy of the group |
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Please indicate the strategy of the branch (e.g. indication of the volume of business envisaged, types of investors with which the management company will be dealing and how the management company will obtain and deal with those investors) |
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Please provide forecast statements for both, profit/loss and cash flow, over an initial 36-month period |
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Section 3.
Organisational structure of the branch
Description of the functional, geographical, and legal reporting lines |
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Description of the place of the branch into the corporate structure of the management company, or of the group where the management company is a member of a group |
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Description of the rules in place for reporting by the branch to the head office of the management company |
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Description of the risk management process put in place by the management company at the level of the branch based on Articles 40 to 43 of Commission Directive 2010/43/EU(5) |
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Summary of the systems and controls in place at the level of the branch as set out in Article 1(3)(f) of Commission Delegated Regulation (EU) 2024/911(6) |
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Description of the arrangements for the compliance with the rules drawn up by the management company’s host Member State pursuant to Article 14 of Directive 2009/65/EC |
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Description of the procedures put in place, and the human and material resources allocated, to comply with anti-money laundering and counter financing of terrorism obligations |
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Organisation chart of the branch |
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Section 4.
Termination of the branch
Details and processes for winding down the business operations, including details of the measures to protect the interests of investors in the host Member State, how complaints are resolved and the discharge of any outstanding liabilities. |
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Schedule of the planned termination. |
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PART 3
Activities to be conducted under the freedom to provide services
Administration
Non-core services
Please indicate how the activities to be conducted in the host Member State will contribute to the strategy of the management company and, where the management company is a member of a group, how the activities to be conducted in the host Member State will contribute to the strategy of the group |
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Date |
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Name and capacity of the signatory |
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Signature |
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ANNEX IV
Attestation of the competent authority of compensation schemes intended to protect investors pursuant to Article 17(3), first subparagraph, and Article 18(2), second subparagraph, of Directive 2009/65/EC
Section 1.
Department responsible for the establishment of this attestation within the competent authority of the management company’s home Member State
Department |
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Address of the competent authority |
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Email address of the department establishing the statement |
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Section 2.
Identification of management company this attestation relates to
Management company |
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Management company’s LEI |
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National identification code of the management company (where available) |
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Management company’s home Member State |
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Address and, where different from address, registered office/domicile |
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Section 3.
Identification of the investor compensation scheme
Investor compensation scheme |
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Address of the investor compensation scheme |
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Registered office/domicile of the investor compensation scheme where different from its address |
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Details of the investor compensation scheme’s website |
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Date |
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Name and capacity of the signatory |
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Signature |
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ANNEX V
Attestation of the competent authority of the authorisation of a management company under Article 17(3), third subparagraph, and Article 18(2), third subparagraph, of Directive 2009/65/EC
Section 1.
Department responsible for the establishment of the attestation within the competent authority of the management company’s home Member State
Department |
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Address of the competent authority |
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Email address of the department establishing the statement |
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Section 2.
Identification of the management company
Management company |
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Management company’s LEI |
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Management company’s national identification code (where available) |
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Management company’s home Member State |
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Address and, where different from address, registered office/domicile |
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Details of management company’s website |
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Section 3.
Scope of the authorisation of the management company
Administration
Non-core services
The management company is subject to the following restrictions regarding the types of UCITS it is authorised to manage (where applicable) |
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Date |
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Name and capacity of the signatory |
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Signature |
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ANNEX VI
Attestation of the competent authority under Article 93(3), second subparagraph, of Directive 2009/65/EC
Section 1.
Department responsible for the establishment of the attestation within the competent authority of the UCITS home Member State
Department |
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Address of the competent authority |
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Email address of the department establishing the statement |
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Section 2.
Identification of the UCITS whose units will be marketed in the host Member State
Name of the UCITS |
Name of the umbrella UCITS (where applicable) |
Legal form(1) |
UCITS LEI (where available) |
Date of authorisation |
UCITS national identification code (where available) |
Duration of the UCITS (where applicable) |
Management company(2) |
Management company LEI |
Management company national identification code (where available) |
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Section 3.
Attestation of the fulfilment of the conditions set out in Directive 2009/65/EC
Date |
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Name and capacity of the signatory |
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Signature |
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ANNEX VII
Model for the communication by the competent authorities of a management company’s home Member State to the competent authorities of the management company’s host Member State under Article 17(2) letter (d) of Directive 2009/65/EC
Identification of the management Company |
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Management company |
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Management company LEI |
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National identification code of the management company (where available) |
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Management company’s home Member State |
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Address and, where different from address, registered office/domicile |
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Identification of the branch |
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Name of the branch |
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National identification code of the branch in the management company’s home Member State (where available) |
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National identification code of the branch in the Member State where the branch is established (where available) |
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Address and, where different from address, registered office/domicile |
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NOTIFICATION OF A PERSON RESPONSIBLE FOR:
Identification of notified person |
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Surname |
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First name |
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Position or function performed |
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Start date for this position |
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End date for this position (where relevant) |
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Telephone number |
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Email address |
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Additional remarks |
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Additional remarks, where indicated (e.g. former name in case of name changes, position changes, etc.) |
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Date |
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Name and capacity of the signatory |
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Signature |
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