BAKGRUNN (fra kommisjonsforordningen)

(1) The scope and content of the information to be notified to competent authorities under Article 33(2) and (3) of Directive 2011/61/EU, vary depending on the purpose and form of the notification. It is therefore appropriate to specify the information to be notified by managers of alternative investment funds (‘AIFMs’) for each type of notification. 

(2) To ensure that competent authorities are at all times informed of the activities of AIFMs and to enable those competent authorities to properly exercise their supervisory powers, they should be informed about every change in the notified information. That includes any withdrawal of, cancellation of, or change to the authorisation initially granted to an AIFM. 

(3) The competent authorities should be provided with information about persons responsible for the management of the branch and their contact details. Persons should be considered responsible for the management of the branch if they have the empowerment to set the branch’s strategy, objectives, and overall direction, to effectively direct the business of the branch or if they are responsible for the day-today business of the branch in a managerial capacity. To avoid any gaps, it should be ensured that for every part of the branch’s activities, business areas and management functions, the persons in the respective leading position are notified. 

(4) The International Securities Identification Number (ISIN) and the Legal Entity Identifier (LEI) of an alternative investment fund (AIF) are extremely important to enable a unique identification of the AIF by electronic means. This Regulation therefore includes the mandatory notification of the ISIN and the LEI where they have been assigned to the AIF and are therefore available. 

(5) This Regulation is based on draft regulatory technical standards submitted to the Commission by the European Securities and Markets Authority. 

(6) The European Securities and Markets Authority has conducted open public consultations on the draft regulatory technical standards on which this Regulation is based, analysed the potential related costs and benefits, and requested the advice of the Securities and Markets Stakeholder Group that was established in accordance with Article 37 of Regulation (EU) No 1095/2010 of the European Parliament and of the Council. 

(7) The provisions in this Regulation are closely linked since they deal with the form and content of the information to be exchanged between AIFMs and the national competent authorities of home and host Member States where the AIFM intends to provide cross-border services. To ensure coherence between those provisions, which should enter into force at the same time, and to facilitate a comprehensive view and efficient access for AIFMs and national competent authorities, it is appropriate to include them in a single regulation. 

(8) This Regulation respects the fundamental rights and observes the principles recognised by the Charter of Fundamental Rights of the European Union, and notably the right of protection of personal data. The processing of personal data in the context of this Regulation shall comply with Regulation (EU) 2016/679. 

(9) The European Data Protection Supervisor was consulted in accordance with Article 42 of Regulation (EU) 2018/1725 and delivered an opinion on 10.10.2023. 

(10) To enable AIFMs and competent authorities to adapt to the new requirements laid down in this Regulation, it is appropriate to defer its application,