ANNEX I
NOTIFICATION LETTER
(Article 1 of Commission Regulation (EU) No 584/2010 of 1 July 2010 implementing Directive 2009/65/EC of the European Parliament and of the Council as regards the form and content of the standard notification letter and UCITS attestation, the use of electronic communication between competent authorities for the purpose of notification, and procedures for on-the-spot verifications and investigations and the exchange of information between competent authorities (OJ L 176, 10.7.2010, p. 16)
NOTIFICATION OF INTENTION TO MARKET UNITS OF UCITS
IN
(the host Member State)
PART A
Name of the UCITS:
UCITS home Member State:
Legal form of the UCITS (please tick appropriate one box):
common fund
unit trust
investment company
Does the UCITS have compartments? Yes/No
Name of the UCITS and/or compartment(s) to be marketed in the host Member State
Name of share class(es) to be marketed in the host Member State (1)
Duration (2)
Code numbers (3)
(1)
If the UCITS intends to market only certain share classes, it should list only those classes
(2)
If applicable
(3)
If applicable (e.g. ISIN)
Name of the management company/self-managed investment company:
Management company’s home Member State:
Address and registered office/domicile if different from address
Details of management company’s website:
Details of contact person at the management company
Name/Position:
Telephone number:
E-mail address:
Fax number:
Duration of the company, if applicable:
Scope of activities of the management company in the UCITS host Member State:
Additional information about the UCITS (if necessary):
Attachments:
(1) The latest version of the fund rules or instruments of incorporation, translated if necessary in accordance with Article 94(1)(c) of Directive 2009/65/EC.
(Title of document or name of electronic file attachment)
(2) The latest version of the prospectus, translated if necessary in accordance with Article 94(1)(c) of Directive 2009/65/EC.
(Title of document or name of electronic file attachment)
(3) The latest version of the key investor information, translated if necessary in accordance with Article 94(1)(b) of Directive 2009/65/EC.
(Title of document or name of electronic file attachment)
(4) The latest published annual report and any subsequent half-yearly report, translated if necessary in accordance with Article 94(1)(c) of Directive 2009/65/EC.
(Title of document or name of electronic file attachment)
Note:
The latest versions of the required documents listed above must be attached to this letter for onward transmission by the competent authorities of the UCITS home Member State, even if copies have previously been provided to that authority. If 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.
Indicate where the latest electronic copies of the attachments can be obtained in future:
PART B
The following information is provided in conformity with the national laws and regulations of the UCITS host Member State in relation to the marketing of units of UCITS in that Member State.
UCITS shall refer to the website of the competent authorities of each Member State for details of which items of information shall be provided in this section. A list of relevant website addresses is available at www.cesr.eu
1. Arrangements made for marketing of units of UCITS
Units of the UCITS/UCITS compartments will be marketed by:
the management company that manages the UCITS
any other management company authorised under Directive 2009/65/EC
credit institutions
authorised investment firms or advisers
other bodies
(1)
(2)
(3)
2. Arrangements for the provision of facilities to unit-holders in accordance with Article 92 of Directive 2009/65/EC:
Details of paying agent (if applicable):
Name:
Legal form:
Registered office:
Address for correspondence (if different):
Details of any other person from whom investors may obtain information and documents:
Name:
Address:
Manner in which the issue, sale, repurchase or redemption price of units of UCITS will be made public:
3. Other information required by the competent authorities of the host Member State in accordance with Article 91(3) of Directive 2009/65/EC
Include (if required by the UCITS host Member State):
details of any additional information to be disclosed to unit-holders or their agents;
in case a UCITS makes use of any exemptions from rules or requirements applicable in the UCITS host Member State in relation to marketing arrangements for the UCITS, a specific share class or any category of investors, details of the use made of such exemptions;
If required by the UCITS host Member State, evidence of payment due to the competent authorities of the host Member State:
PART C
Confirmation by the UCITS
We hereby confirm that the documents attached to this notification letter contain all relevant information as provided for in the Directive 2009/65/EC. The text of each document is the same as that previously submitted to the competent authorities of the home Member State, or is a translation that faithfully reflects that text.
(The notification letter shall be signed by an authorised signatory of the UCITS or a third person empowered by a written mandate to act on behalf of the notifying UCITS, in a manner which the competent authorities of the UCITS home Member State accept for certification of documents. The signatory shall state his/her full name and capacity, and shall ensure the confirmation is dated.)