Simplify AIFMD Annex IV reporting with Capmatix AM

Your Trusted Reporting Solution

Capmatix AM is used by 3 of the largest 10 Alternative Investment Fund Managers (AIF-Managers) in Europe. By providing out of the box solutions from data loading, quality checks and distribution to the national competent authorities (NCA), LPA offers the go-to solution to lift your reporting to the next level. You can leverage on 10 years of reporting experience with a dashboard solution that serves both the largest Fund Adminstrators to AIF-Managers reporting 1 AIF. We at LPA commit to make you 100% compliant!

With CAPMATIX AM to effortless AIFMD compliance

Out of the box

Use standardized templates to report within minutes with QA checks along the process.

Leadership

Leverage LPA's expertise from 10,000s of reports per period.

Automated Filing

Engage our flexible distribution service and file your reports in all countries fully automated to CSSF, FCA, AMF, CONSOB & BaFin.

Up to Date

Rely on LPA's Regulatory Watch team to stay ahead of the curve.

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Why Capmatix for AIFMD (Annex IV)?

The Alternative Investment Fund Management Directive (AIFMD) Annex IV imposes requirements on alternative investment funds (AIFs) regarding their management, marketing and administration. Capmatix AM is our solution to this complex reporting obligation. We cover all services along the report generation process for both EU and non-EU & UK AIFs and management companies.

Produce AIF Reports

Capmatix AM empowers you to achieve timeliness in generating AIF reports for every filing-required country. It ensures you confidently meet reporting obligations without compromise, establishing a foundation for compliance.

Trust the Expertise of a Leader

Leverage our extensive experience as a leader in AIFMD reporting. For years, weve been pioneers, delivering best-in-class solutions that automate the end-to-end workflow for AIF reports across all EU member states and markets the AIFMD regime.

Drive Cost Efficiencies and Reduce Complexities

Capmatix AM emerges as your comprehensive solution for AIFMD reporting. Experience streamlined processes by automating import, calculation, data monitoring, and report validation checks. Achieve unparalleled efficiency and cost savings with our end-to-end solution.

Stay Ahead with Timely Updates

Rely on our expertise to keep you at the forefront of regulatory changes. Capmatix AM provides timely update reports, ensuring continuous compliance. Our commitment is to deliver solutions that evolve with the ever-changing regulatory landscape.

Automation is a driver of competitiveness in asset management, especially for regulatory topics

About
50 %
Increase of data related costs from 2016 to 2021
Up to
350 %
of IT costs are spent to produce validated financial reports
Up to
35 %
Savings potential by improvement of the efficiency of data management

Learn more about CAPMATIX

Document and workflow automation

Go-live with a SaaS solution and start producing market standard reports and documents.

Source Data

Import both Fund (AIF) and Manager (AIFM) data

CSV Data

Your Data can be imported in .csv file format.

Calculation
AIFMD Module

Document Generation - AIF und AIFM Reports both for the UK & EU

Document Management - AIFMD Dataservice Files

Classifications and Calculations - Aggregation and Calculation based on different data.

+ Client Documentation + Report Dashboard + Data Check + Monitoring
Distribution

CSSF, FCA, AMF, CONSOB & BaFin in all countries mostly automated.

Start now With the implementation phase of the new AIFMD Level 2 regulation until April 16th 2026, new challenges are on the horizon. Rely on the market leader in AIFMD reporting and get started today!
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Managed Services

CAPMATIX - part of a holistic solution

Sp
Structured Products

Automation of the output process for KIDs, brochures, term sheets, certificates and more for customers and authorities.

PRIIP KIDs Issuance Automation Brochures & Prospects Final Terms Term Sheets Interactive, Websites & in App Docs
Otc
OTC Suite

Advanced trading technology, comprehensive product coverage and market expertise from the pre-trade to the post-trade phase.

Interactive, Websites & in App Docs Trading Post-Trade Costs & Charges Term Sheets PRIIP KIDS Digital Consulting
Am
Asset Management

Automation of European and local regulatory reports through software or managed services.

PRIIPs – MiFID, EPT, KID, EMT, TCC SFDR AIFMD (Annex IV) Solvency II, TPT, SCR CRR II, VAG, Solva, GroMiKV

Learn more about the upcoming changes in Q1 2026:

Harmonised rules for managing liquidity
Increased supervisory convergence on asset manager delegation arrangements
Prudential reporting requirements for AIFs reviewed and introduced for UCITS
Central securities depositories (CSDs) are considered depositary delegates when not acting as issuer CSDs.
Lending is recognised as a legitimate activity for AIFM and common rules are introduced to help manage risk and improve financial stability.
In accordance with the relevant regulations, the home Member State of an EU AIF may permit its competent authorities to designate credit institutions established in other Member States as depositaries.

Who we are:

LPA is changing the way financial markets work around the world. We balance our clients' workloads by synergistically combining software, automation and new technologies to deliver a dynamic and innovative financial services ecosystem.

Defy. Deploy. Run.

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Trusted by more than 180 clients

With over twenty years of experience in the market, 350+ employees and over 180 clients LPA is the leading provider of smart technology solutions in the financial industry.

You have further questions? Let's answer them.

In which countries do you need to report AIFMD?

Geographical Area: Europe (EEA)
Region Code : EUROPEEEA
Belgium (BE)
Luxembourg (BE)
Germany (GER)
Estonia (EE)
Greece (GR)
Spain (ES)
France (FR)
Ireland (IE)
Italy (IT)
Cyprus (CY)
Malta (MT)
Netherlands (NL)
Austria (AT)
Portugal (PT)
Slovenia (SI)
Slovakia (SK)
Finland (FI)
European Central Bank (4F)
European Stability Mechanism (4S)
Denmark (DK)
Sweden (SE)
Bulgaria (BG)
Czech Republic (CZ)
Croatia (HR)
Hungary (HU)
Lithuania (LT)
Latvia (LV)
Poland (PL)
Romania (RO)
European Union Institutions (4A)
Iceland (IS)
Liechtenstein (LI)
Norway (NO)
Geographical Area: Europe (Other than EEA)
Region Code : EUROPENONEEA
Andorra (AD)
Albania (AL)
Bosnia and Herzegovina (BA)
Belarus (BY)
Faroe Islands (FO)
Guernsey (GG)
Gibraltar (GI)
Isle of Man (IM)
Jersey (JE)
Moldova (MD)
Montenegro (ME)
Macedonia (MK)
Serbia (RS)
Russian Federation (RU)
San Marino (SM)
Turkey (TR)
Ukraine (UA)
United Kingdom (GB)
Vatican City State (VA)
Switzerland (CH)
Geographical Area: Africa
Region Code : AFRICA
Algeria (DZ)
Egypt (EG)
Libya (LY)
Morocco (MA)
Tunisia (TN)
Angola (AO)
Burkina Faso (BF)
Burundi (BI)
Benin (BJ)
Botswana (BW)
Democratic Republic of the Congo (CD)
Central African Republic (CF)
Congo (CG)
Côte d’Ivoire (CI)
Cameroon (CM)
Cape Verde (CV)
Djibouti (DJ)
Eritrea (ER)
Ethiopia (ET)
Gabon (GA)
Ghana (GH)
Gambia (GM)
Guinea (GN)
Equatorial Guinea (GQ)
Guinea-Bissau (GW)
British Indian Ocean Territory (IO)
Kenya (KE)
Comoros (KM)
Liberia (LR)
Lesotho (LS)
Madagascar (MG)
Mali (ML)
Mauritania (MR)
Mauritius (MU)
Malawi (MW)
Mozambique (MZ)
Namibia (NA)
Niger (NE)
Nigeria (NG)
Rwanda (RW)
Seychelles (SC)
Sudan (SD)
St Helena, Ascension and Tristan da Cunha (SH)
Sierra Leone (SL)
Senegal (SN)
Somalia (SO)
Sao Tome and Principe (ST)
South Sudan (SS)
Swaziland (SZ)
Chad (TD)
Togo (TG)
Tanzania (TZ)
Uganda (UG)
South Africa (ZA)
Zambia (ZM)
Zimbabwe (ZW)
Geographical Area: North America
Region Code : NORTHAMERICA
Canada (CA)
Greenland (GL)
United States (US)
Geographical Area: South America
Region Code : SOUTHAMERICA
Antigua and Barbuda (AG)
Anguilla (AI)
Aruba (AW)
Barbados (BB)
Bermuda (BM)
Bonaire, Sint Eustatius and Saba (BQ)
Bahamas (BS)
Belize (BZ)
Costa Rica (CR)
Cuba (CU)
Curaçao (CW)
Dominica (DM)
Dominican Republic (DO)
Grenada (GD)
Guatemala (GT)
Honduras (HN)
Haiti (HT)
Jamaica (JM)
St Kitts and Nevis (KN)
Cayman Islands (KY)
Saint Lucia (LC)
Montserrat (MS)
Mexico (MX)
Nicaragua (NI)
Panama (PA)
El Salvador (SV)
Sint Maarten (SX)
Turks and Caicos Islands (TC)
Trinidad and Tobago (TT)
St Vincent and the Grenadines (VC)
Virgin Islands, British (VG)
Virgin Islands, U.S. (VI)
Argentina (AR)
Bolivia (BO)
Brazil (BR)
Chile (CL)
Colombia (CO)
Ecuador (EC)
Falkland Islands (FK)
Guyana (GY)
Peru (PE)
Paraguay (PY)
Suriname (SR)
Uruguay (UY)
Venezuela (VE)
Geographical Area: Asia and Pacific
Region Code : ASIAPACIFIC
Afghanistan (AF)
Bangladesh (BD)
Brunei Darussalam (BN)
Bhutan (BT)
China (CN)
Hong Kong (HK)
Indonesia (ID)
India (IN)
Japan (JP)
Kyrgyzstan (KG)
Cambodia (KH)
North Korea (KP)
South Korea (KR)
Kazakhstan (KZ)
Laos (LA)
Sri Lanka (LK)
Burma/Myanmar (MM)
Mongolia (MN)
Macao (MO)
Maldives (MV)
Malaysia (MY)
Nepal (NP)
Philippines (PH)
Pakistan (PK)
Singapore (SG)
Thailand (TH)
Tajikistan (TJ)
Timor-Leste (TL)
Turkmenistan (TM)
Taiwan (TW)
Uzbekistan (UZ)
Viet Nam (VN)
Australia (AU)
Fiji (FJ)
Micronesia, Federated States of (FM)
Kiribati (KI)
Marshall Islands (MH)
Northern Mariana Islands (MP)
New Caledonia (NC)
Nauru (NR)
New Zealand (NZ)
French Polynesia (PF)
Papua New Guinea (PG)
Pitcairn (PN)
Palau (PW)
Solomon Islands (SB)
Tonga (TO)
Tuvalu (TV)
Vanuatu (VU)
Wallis and Futuna (WF)
Samoa (WS)
Cocos (Keeling) Islands (CC)
Christmas Island (CX)
Heard Island and McDonald Islands (HM)
Norfolk Island (NF)
American Samoa (AS)
Guam (GU)
US Minor Outlying Islands (UM)
Cook Islands (CK)
Niue (NU)
Tokelau (TK)
Antarctica (AQ)
Bouvet Island (BV)
South Georgia and the South Sandwich Islands (GS)
French Southern and Antarctic Lands (TF)
Geographical Area: Middle East
Region Code : MIDDLEEAST
Israel (IL)
Iran (IR)
United Arab Emirates (AE)
Bahrain (BH)
Iraq (IQ)
Kuwait (KW)
Oman (OM)
Qatar (QA)
Saudi Arabia (SA)
Yemen (YE)
Armenia (AM)
Azerbaijan (AZ)
Georgia (GE)
Jordan (JO)
Lebanon (LB)
Palestinian Territory (PS)
Syria (SY)

List of AIFMD National Competent Authorities (NCAs)

Member State
Authority
Website
Austria
Österreichische Finanzmarktaufsicht (FMA)
https://www.fma.gv.at/
Belgium
Financial Services and Markets Authority (FSMA)
https://www.fsma.be/
Bulgaria
Financial Supervision Commission (FSC)
https://www.fsc.bg/
Croatia
Croatian Financial Services Supervisory Agency (HANFA)
https://www.hanfa.hr/
Cyprus
Cyprus Securities and Exchange Commission (CySEC)
https://www.cysec.gov.cy/
Czech Republic
Czech National Bank (CNB)
https://www.cnb.cz/
Denmark
Danish Financial Supervisory Authority (DFSA)
https://www.dfsa.dk/
Estonia
Estonian Financial Supervision and Resolution Authority (FSA)
https://www.fi.ee/
Finland
Financial Supervisory Authority (FIN-FSA)
https://www.finanssivalvonta.fi/
France
Autorité des Marchés Financiers (AMF)
https://www.amf-france.org/
Germany
Bundesanstalt für Finanzdienstleistungsaufsicht (BaFin)
https://www.bafin.de/
Greece
Helenic Capital Market Commission (HCMC)
https://www.hcmc.gr/
Hungary
Magyar Nemzeti Bank (MNB)
https://www.mnb.hu/
Iceland
Central Bank of Iceland
https://www.cb.is/
Ireland
Central Bank of Ireland
https://www.centralbank.ie/
Italy
Bank of Italy
https://www.bancaditalia.it/
Latvia
Financial and Capital Market Commission(FKTK)
https://www.fktk.lv/
Liechtenstein
Finanzmarktaufsicht Liechtenstein (FMA)
https://www.fma-li.li/
Lithuania
Bank of Lithuania / Lietuvos Bankas
https://www.lb.lt/
Luxembourg
Commission de Surveillance du Secteur Financier (CSSF)
https://www.cssf.lu/
Malta
Malta Financial Services Authority (MFSA)
https://www.mfsa.mt/
Netherlands
Dutch Authority for the Financial Markets (AFM)
https://www.afm.nl/
Norway
Financial Supervisory Authority of Norway
https://www.finanstilsynet.no/
Poland
Komisja Nadzoru Finansowego (KNF)
https://www.knf.gov.pl/
Portugal
Comissão do Mercado de Valores Mobiliários (CMVM)
https://www.cmvm.pt/
Romania
Autoritatea de Supraveghere Financiara (ASF)
https://www.asfromania.ro/
Slovakia
Národná Banka Slovenska (NBS)
https://nbs.sk/
Slovenia
Agencija za trg Vrednostnih Papirjev (A-TVP)
https://www.a-tvp.si/
Spain
Comisión Nacional del Mercado de Valores (CNMV)
https://www.cnmv.es/
Sweden
Finansinspektionen (FI)
https://www.fi.se/
United Kingdom
Financial Conduct Authority (FCA)
https://www.fca.org.uk/

List of publications on the AIFMD by the European Authorities

European Parliament
AIFMD Directive 2011/61/EU
Commission Delegated Regulation (EU) No 231/2013
ESMA (European Securities and Markets Authority)
Guidelines on key concepts
Guidelines on reporting obligations
AIFMD Q&A
Consultation Paper
AIFMD Final Report
Policy Activities - Fund Management

How to determine the Investor Concentration Percentage by Retail Investors and by Professional Clients?

According to Directive 2004/39/EC the following entities are considered professional clients. Please see the directive for the full details.

  • Credit institutions.
  • Investment firms.
  • Other authorised or regulated financial institutions.
  • Insurance companies.
  • Collective investment schemes and management companies of such schemes.
  • Pension funds and management companies of such funds.
  • Commodity and commodity derivatives dealers.
  • Local firms as defined in Article 3(1)(p) of Directive 2006/49/EC.
  • Other institutional investors.
  • Large undertakings meeting two of the following size requirements on a company basis: balance sheet total: EUR 20 000 000, net turnover: EUR 40 000 000, own funds: EUR 2 000 000.
  • National and regional governments, public bodies that manage public debt, Central Banks, international and supranational institutions such as the World Bank, the IMF, the ECB, the EIB and other similar international organisations.
  • Other institutional investors whose main activity is to invest in financial instruments, including entities dedicated to the securitisation of assets or other financing transactions.

AIFMD reporting periods

Policy Activities - Fund Management
The Reporting period start date for funds is always the first calendar day of the Reporting period type in the Reporting period year
The Reporting period end date
The Reporting period end date for funds is always the last calendar day of the Reporting period type in the Reporting period year.
Inception Date
The Reporting period end date for funds is always the last calendar day of the Reporting period type in the Reporting period year.
BaFin Exception (Germany)
In contrast to ESMA, BaFin states “The inception date is not allowed as it should be before the reporting start date”. So the inception date cannot be the same as the start date of the reporting period. This leads to the difference that e.g. 1 July gets the reporting period type H2 according to the ESMA rules and Q4 according to the BaFin rules.

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