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Commission Delegated Regulation (EU) No 231/2013Dangos y teitl llawn
Commission Delegated Regulation (EU) No 231/2013 of 19 December 2012 supplementing Directive 2011/61/EU of the European Parliament and of the Council with regard to exemptions, general operating conditions, depositaries, leverage, transparency and supervision (Text with EEA relevance)
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Changes over time for: SECTION 3
Changes to legislation:
Commission Delegated Regulation (EU) No 231/2013, SECTION 3 is up to date with all changes known to be in force on or before 06 February 2026. There are changes that may be brought into force at a future date. Changes that have been made appear in the content and are referenced with annotations.
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Changes and effects yet to be applied to Chapter V Section 3:
- Regulation revoked by 2023 c. 29 Sch. 1 Pt. 3
SECTION 3U.K.Specific rules relating to third countriesF1...
Article 113U.K.General requirements
1.Cooperation arrangements shall cover all possible situations and actors envisaged in [F2regulations 33, 49 and 50 of the AIFM Regulations 2013] taking into account the location of the AIFM, the location of the AIF and the activity of the AIFM.
2.Cooperation arrangements shall take a written form.
3.Cooperation arrangements shall establish the specific framework for consultation, cooperation and exchange of information for supervisory and enforcement purposes between [F3the FCA] and third country supervisory authorities.
4.Cooperation arrangements shall include a specific clause providing for the transfer of information received by [F4the FCA] from a supervisory authority in a third country F5....
Textual Amendments
F2Words in Art. 113(1) substituted (31.12.2020) by The Alternative Investment Fund Managers (Amendment etc.) (EU Exit) Regulations 2019 (S.I. 2019/328), regs. 1(3), 38(2)(a) (as amended by S.I. 2019/325, regs. 1(3), 58); 2020 c. 1, Sch. 5 para. 1(1)
F3Words in Art. 113(3) substituted (31.12.2020) by The Alternative Investment Fund Managers (Amendment etc.) (EU Exit) Regulations 2019 (S.I. 2019/328), regs. 1(3), 38(2)(b) (as amended by S.I. 2019/325, regs. 1(3), 58); 2020 c. 1, Sch. 5 para. 1(1)
F4Words in Art. 113(4) substituted (31.12.2020) by The Alternative Investment Fund Managers (Amendment etc.) (EU Exit) Regulations 2019 (S.I. 2019/328), regs. 1(3), 38(2)(c)(i) (as amended by S.I. 2019/325, reg. 1(3), 58); 2020 c. 1, Sch. 5 para. 1(1)
F5Words in Art. 113(4) omitted (31.12.2020) by virtue of The Alternative Investment Fund Managers (Amendment etc.) (EU Exit) Regulations 2019 (S.I. 2019/328), regs. 1(3), 38(2)(c)(ii) (as amended by S.I. 2019/325, regs. 1(3), 58); 2020 c. 1, Sch. 5 para. 1(1)
Article 114U.K.Mechanisms, instruments and procedures
1.Cooperation arrangements shall establish the mechanisms, instruments and procedures required for enabling [F6the FCA] to have access to all information necessary for the performance of their duties under [F7FSMA and the AIFM Regulations 2013].
2.Cooperation arrangements shall establish the mechanisms, instruments and procedures required for enabling on-site inspections to be carried out where required for the exercise of the [F8FCA's duties]. On-site inspections shall be carried out directly by [F9the FCA] or by the third country competent authority with the assistance of [F9the FCA].
3.Cooperation arrangements shall establish the mechanisms, instruments and procedures required for the third country competent authority to assist [F10the FCA] where it is necessary to enforce [F11the law applying in the United Kingdom, or in any part of the United Kingdom] breached by an entity established in the third country, in accordance with the national and international law applicable to that authority.
Textual Amendments
F6Words in Art. 114(1) substituted (31.12.2020) by The Alternative Investment Fund Managers (Amendment etc.) (EU Exit) Regulations 2019 (S.I. 2019/328), regs. 1(3), 38(3)(a)(i) (as amended by S.I. 2019/325, regs. 1(3), 58); 2020 c. 1, Sch. 5 para. 1(1)
F7Words in Art. 114(1) substituted (31.12.2020) by The Alternative Investment Fund Managers (Amendment etc.) (EU Exit) Regulations 2019 (S.I. 2019/328), regs. 1(3), 38(3)(a)(ii) (as amended by S.I. 2019/325, regs. 1(3), 58); 2020 c. 1, Sch. 5 para. 1(1)
F8Words in Art. 114(2) substituted (31.12.2020) by The Alternative Investment Fund Managers (Amendment etc.) (EU Exit) Regulations 2019 (S.I. 2019/328), regs. 1(3), 38(3)(b)(i) (as amended by S.I. 2019/325, regs. 1(3), 58); 2020 c. 1, Sch. 5 para. 1(1)
F9Words in Art. 114(2) substituted (31.12.2020) by The Alternative Investment Fund Managers (Amendment etc.) (EU Exit) Regulations 2019 (S.I. 2019/328), regs. 1(3), 38(3)(b)(ii) (as amended by S.I. 2019/325, reg. 1(3), 58); 2020 c. 1, Sch. 5 para. 1(1)
F10Words in Art. 114(3) substituted (31.12.2020) by The Alternative Investment Fund Managers (Amendment etc.) (EU Exit) Regulations 2019 (S.I. 2019/328), regs. 1(3), 38(3)(c)(i) (as amended by S.I. 2019/325, regs. 1(3), 58); 2020 c. 1, Sch. 5 para. 1(1)
F11Words in Art. 114(3) substituted (31.12.2020) by The Alternative Investment Fund Managers (Amendment etc.) (EU Exit) Regulations 2019 (S.I. 2019/328), regs. 1(3), 38(3)(c)(ii) (as amended by S.I. 2019/325, regs. 1(3), 58); 2020 c. 1, Sch. 5 para. 1(1)
Article 115U.K.Data protection
Cooperation arrangements shall ensure that the transfer to third countries of data and the analysis of data takes place only in accordance with [F12regulation 9(2B) of the Financial Services and Markets Act 2000 (Disclosure of Confidential Information) Regulations 2001].
Textual Amendments
F12Words in Art. 115 substituted (31.12.2020) by The Alternative Investment Fund Managers (Amendment etc.) (EU Exit) Regulations 2019 (S.I. 2019/328), regs. 1(3), 38(4) (as amended by S.I. 2019/325, regs. 1(3), 58); 2020 c. 1, Sch. 5 para. 1(1)
Textual Amendments
F1Words in Ch. 5 Section 3 heading omitted (31.12.2020) by virtue of The Alternative Investment Fund Managers (Amendment etc.) (EU Exit) Regulations 2019 (S.I. 2019/328), regs. 1(3), 38(1) (as amended by S.I. 2019/325, regs. 1(3), 58); 2020 c. 1, Sch. 5 para. 1(1)
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