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
ATTESTATION ESTABLISHED BY ______________________________________ (name of the competent authority of the management company’s home Member State)
Section 1. Department responsible for the establishment of the attestation within the competent authority of the management company’s home Member State
Department | |
Address of the competent authority | |
Email address of the department establishing the statement |
Section 2. Identification of the management company
Management company | |
Management company’s LEI | |
Management company’s national identification code (where available) | |
Management company’s home Member State | |
Address and, where different from address, registered office/domicile | |
Details of management company’s website |
Section 3. Scope of the authorisation of the management company
The management company has been authorised in _________________________ (name of the home Member State) to conduct the following activities and provide the following services by ___________________________ (name of the home competent authority):
☐ | Investment management |
☐ | Marketing |
Administration
☐ | Legal and fund management accounting services |
☐ | Customer inquiries |
☐ | Valuation and pricing (including tax returns) |
☐ | Regulatory compliance monitoring |
☐ | Maintenance of unit-holder register |
☐ | Distribution of income |
☐ | Unit issues and redemptions |
☐ | Contract settlements (including certificate dispatch) |
☐ | Record keeping |
Non-core services
☐ | Management of portfolios of investments, including those owned by pension funds, in accordance with mandates given by investors on a discretionary, client-by-client basis, where such portfolios include one or more of the instruments listed in Annex I, Section C to Directive 2014/65/EU |
☐ | Investment advice concerning one or more of the instruments listed in Annex I, Section C to Directive 2014/65/EU |
☐ | Safekeeping and administration in relation to units of collective investment undertakings |
The management company is subject to the following restrictions regarding the types of UCITS it is authorised to manage (where applicable) |
(The attestation shall be signed and dated by a representative of the competent authority of the management company’s home Member State. The signatory shall state his or her full name and capacity.)
Date | |
Name and capacity of the signatory | |
Signature |