Investment managers and investment advisers to authorised collective investment schemes (CIS) approval and disclosure

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1 2004 Investment Managers and Investment Advisers to authorised collective investment schemes (CIS) Investment managers and investment advisers to authorised collective investment schemes (CIS) November 2004

2 Contents. Investment Advisers 2 2. Investment Managers 3

3 Investment Managers and Investment Advisers to authorised collective investment schemes (CIS) approval and disclosure The Central Bank of Ireland, ("the Central Bank"), has certain policies in relation to: (i) (ii) the approval of investment managers and investment advisers appointed to authorised CIS; disclosure of details relating to investment managers and advisers in documentation issued by CIS.. Investment Advisers An investment adviser is defined as a firm which provides investment advice only and does not have discretionary powers over any of the assets of the CIS. a. The Central Bank will not apply an approval process to investment advisers provided that the manager/directors of the CIS confirm that the advisers in question will act in an advisory capacity only and will have no discretionary powers over any of the assets of the CIS. b. The Central Bank will not carry out a formal review of the investment advisory agreement provided that the manager/directors of the CIS confirm that the agreement does not: provide for any discretionary management powers; conflict with regulations and conditions applicable to Irish CIS. The Central Bank will require receipt of all investment advisory agreements, in order to facilitate reference in the event of issues arising. c. The Central Bank will not require details of the investment adviser to be published in the prospectus 2 unless appointed directly by the CIS. 2 Investment advisers subject to the Investment Intermediaries Act, 995 ( the IIA ) must of course obtain the appropriate authorisation under that act. A prospectus may however include additional disclosure regarding investment advisers in accordance with the particular policy of the CIS. 2

4 2. Investment Managers An investment manager is appointed either directly by the CIS or the management company of a CIS, or indirectly, as sub-investment manager by an investment manager, to manage assets of a CIS on a discretionary basis. 2a. An investment manager, or sub-investment manager, who has an authorisation to carry out discretionary asset management under ISD 3 implementing legislation in a Member State of the EEA, will not be subject to an additional regulatory approval process by the Central Bank. However, if the firm does not appear on the ISD passport register 4, the Central Bank may require separate verification of its home State authorisation. Non-EEA/non-ISD firms remain subject to the full approval process. 2b. In general, investment management agreements are subject to a fast-track approval process. The Central Bank s procedures will review, in particular, those provisions dealing with duties, indemnity/liability and fees. 2c. Details of the principal investment manager must be disclosed in the prospectus of a CIS. The Central Bank will not require disclosure of sub-investment managers unless these are paid directly by the CIS. The prospectus should, however, state that this information will be provided to unitholders on request. Details of all sub-investment managers will be required to be disclosed in the periodic reports issued by the CIS. Financial Institutions and Funds Authorisation Central Bank of Ireland 2 November The European Union Investment Services Directive (93/22/EEC) ( the ISD ) The ISD passport register is maintained by the Bank based on notifications by EEA regulators that regulated firms intend to passport certain investment services into the State. 3

5 T F FIFApolicy@centralbank.ie Bosca OP 559, Sráid an Dáma, Baile Átha Cliath 2, Éire PO. Box No 559, Dame Street, Dublin 2, Ireland 4

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