ESMA_QA_1071
Topic
Cross-border distribution of funds
12/06/2023
Subject Matter
De-notification in the absence of investors in the host Member State
Question
In case there are no investors in a host Member State, do AIFMs wishing to de-notify the arrangements previously made for marketing the units or shares of the EU AIFs they manage have to comply with the obligations set out in Article 32a(1) of the AIFMD?
Level 1 Regulation
Alternative Investment Fund Managers Directive (AIFMD) Directive 2011/61/EU
ESMA_QA_1070
Topic
Cross-border distribution of funds
12/06/2023
Subject Matter
Pre-marketing by registered AIFMs
Question
Are registered AIFMs referred to in Article 3(2) of the AIFMD, which do not qualify as EuSEF manager or EuVECA manager, subject to the obligation to notify pre-marketing pursuant to Article 30a(1) of the AIFMD?
Level 1 Regulation
Alternative Investment Fund Managers Directive (AIFMD) Directive 2011/61/EU
ESMA_QA_1069
Topic
Cross-border distribution of funds
12/06/2023
Subject Matter
Pre-marketing by third-parties
Question
Where an investment strategy is developed by a third party (the fund initiator), are the obligations set out in Article 30a of the AIFMD applicable to this third party?
Level 1 Regulation
Alternative Investment Fund Managers Directive (AIFMD) Directive 2011/61/EU
ESMA_QA_1061
Topic
* SFTR Art. 4
06/06/2023
Subject Matter
Reporting of the SFTs concluded by IORPs and pension funds
Question
Which are the entities that have the reporting responsibility under SFTR, for IORPs and for personal pension funds?
Level 1 Regulation
Securities Financing Transactions Regulation (SFTR) Regulation (EU) 2015/2365- MDP
ESMA_QA_1242
Topic
DLT financial instruments
02/06/2023
Subject Matter
DLT Collective investment undertakings
Question
Should ETFs or other collective investment undertakings represented by shares be considered as units in collective investment undertakings, rather than shares (transferable securities), thus falling into the bucket specified in Article 3(1), point (c), DLTPR, and hence assessed against the criteria in Article 25(4), point (a), of MiFID II?
Level 1 Regulation
Regulation (EU) 2022/858 - DLT Pilot Regime Regulation (DLTR)