Who is required to complete an Annex IV report?
An Alternative Investment Fund Manager ("AIFM") which
markets its funds ("AIFs") in the UK or Europe is
required to report information (referred to as 'transparency
information' or 'Annex IV reporting') to the Financial
Conduct Authority ("FCA") and other EEA regulators.
We have detailed below a summary of the key challenges in
providing accurate and timely Annex IV reports to regulators and
how Newgate Compliance can help combat them.
What is Annex IV reporting?
'Transparency information' provides detailed information
to regulators about the AIFM itself and the AIF(s) it is managing.
Regulators see this information as key to their supervision
strategy and compliance with requirements is therefore essential.
Receiving accurate information from firms on time enables
regulators to focus their supervisory resources appropriately,
protecting and enhancing the integrity of their financial systems
and secure an
