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Cecilie Mathiasen
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1 Notifikation om tilladelse til forvaltning af alternative investeringsfonde fra et andet land inden for den Europæiske Union eller et land, som Unionen har indgået aftale med på det finansielle område, af forvaltere af alternative investeringsfonde med hjemsted i Danmark Det følger af lov om forvaltere af alternative investeringsfonde m.v. 89, at forvaltere af alternative investeringsfonde med registreret hjemsted i Danmark kan forvalte alternative investeringsfonde fra et andet land inden for den Europæiske Union eller et land, som Unionen har indgået aftale med på det finansielle område, enten direkte eller ved oprettelsen af en filial under forudsætning af, at forvalteren har tilladelse til at forvalte alternative investeringsfonde med den pågældende type investeringsstrategi. Før at forvalteren kan få tilladelse efter lov om forvaltere af alternative investeringsfonde m.v. 89, skal det hertil hørende Notification Letter udfyldes og sendes til Finanstilsynet. Forvalteren kan påbegynde levering af forvaltningsydelser i værtslandet efter at have modtaget underretning fra Finanstilsynet. Til denne ansøgning skal følgende dokumenter udfyldes på engelsk og vedhæftes ansøgningen: Driftsplan, som beskriver, hvilke ydelser forvalteren har til hensigt at levere, og hvilke alternative investeringsfonde forvalteren har til hensigt at forvalte. Hvis forvaltningen ønskes foretaget gennem oprettelsen af en filial, skal oplysninger om filialens organisatoriske struktur ligeledes vedhæftes ansøgningen. Såfremt ansøgningen ikke er fuldstændig må der påregnes en risiko for, at ansøgningen afvises i sin helhed. Frister for afgørelse regnes fra det tidspunkt, hvor Finanstilsynet modtager en fuldstændig ansøgning.

2 Notification of intentions of Alternative Investment Fund Manager established in Denmark to manage EU alternative investment funds according to Directive 2011/61/ EU of the European Parliament and of the Council of 8 June 2011 on Alternative Investment Fund Managers (AFIM Directive) Article 33 Notification Letter Notification of intentions of Alternative Investment Fund Manager (AIFM) to manage alternative investments funds (AIF) directly or establish a branch in: Type of notification (First time/change): (name of host Member State) The following AIFM wishes to: Manage alternative funds directly in the host Member State Establish a branch in the host Member State Part A Name of the AIFM: Address or registered office: Details of contact person Name and position: Telephone number: address: Additional information (if necessary):

3 The services which the AIFM intends to perform: 1) Investment management functions Portfolio management Risk management Part B (program of operations) 2) Other functions that an AIFM may additionally perform in the course of the collective management of an AIF: a) Administration (check the appropriate box(es) or the all of the above-box : i) Legal and fund management accounting services ii) Customer inquires b) Marketing iii) Valuation and pricing, including tax matters iv) Regulatory compliance monitoring v) Maintenance of units/-shareholder register vi) Distribution of income vii) Units/shares issues and redemptions viii) Contract settlements, including certificate dispatch ix) Record keeping All of the above c) Activities related to the assets of AIFs, namely: services necessary to meet the fiduciary duties of the AIFM; facilities management; real estate administration activities; advice to undertakings on capital structure, industrial strategy and related matters; advice and services relating to mergers and the purchase of undertakings; and other services connected to the management of the AIF and the companies and other assets in which it has invested.

4 3) Other functions a) Management of portfolios of investments, including those owned by pension funds and institutions for occupational retirement provision in accordance with Article 19(1) of Directive 2003/41/EC, in accordance with mandates given by investors on a discretionary, client-by-client basis b) Ancillary services i) Investment advice ii) Safekeeping and administration in relation to units of collective investment undertakings iii) Reception and transmission of orders in relation to financial instruments Additional information (if necessary) Name of the AIF that the AIFM intends to manage in Denmark: Address or registered domicile: Inception date of the non-eu AIF (or date of authorization) 2 : Identification code of the AIF (LEI, ISIN, RIC, ECB, SEDOL, CUSIP): 2 If applicable.

5 Does the non-eu AIF have sub-funds? Yes 3 No Name of the AIF or AIFs/or compartment(s) to be managed AIF home Member State Legal form (common fund, unit trust, investment company, partnership, other (please specify)) Name of the depositary of the AIF 4 Name of the master AIF/or compartment(s) (if applicable) Home Member State of the master AIF (if applicable) AIF s investment strategy (please specify the predominant AIF and the breakdown by investment strategies as set out in the reporting template included in Regulation 231/2013) 3 If there are more than eight sub-funds, please attach an excel file divided into the same structure. 4 Information on the depositary of the AIF should include the address of the depositary.

6 Part C (Only applicable if the AIFM intends to establish a branch in the host Member State) Details of the branch from which documents may be obtained: Name of the branch: Address or registered office: Details of contact person(s) responsible for the management of the branch: Name and position: Phone number: Name and position: Phone number: Attachment Organisational structure of the branch: Part D Confirmation by the AIFM We hereby confirm that the documents attached to this notification letter contain all relevant information as provided in article 33 of Directive 2011/61/EU of the European Parliament and the Council of 8 June 2011 on Alternative Investment Fund Managers. (The notification letter shall be signed by an authorized signatory of the AIFM or a third person empowered by a written mandate to act on behalf of the notifying AIFM. The signatory shall state his/her full name and capacity, and shall ensure the confirmation is dated.) Name: Position: Date: Signature:

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