Introduction of AML/CFT investment market entry forms (funds and IFMs)

As already announced in the CSSF Communiqué dated 23 May 2019, the CSSF has put in place a new form aiming at collecting standardised key information in relation to money laundering and terrorist financing risks (“ML/FT risk”) to which the professionals supervised by the CSSF are exposed to and in relation to the measures they put in place to mitigate these risks.

The CSSF informs herewith the public that the form is now available in an updated version and that this version has been adapted to apply to all Funds supervised by the CSSF.

In addition, the CSSF informs the public that the form regarding the Investment Fund Managers supervised by the CSSF is now available.

Funds AML/CFT market entry form:

The CSSF draws your attention to the fact that the AML/CFT form for Funds must be completed and added as enclosure to any submission of an application for the set-up of a UCITS, UCI Part II, SIF, SICAR, ELTIF, EUSEF, EUVECA or MMF.

It must also be renewed when requesting approval of an additional sub-fund to provide sub-Fund related information and to update any information previously submitted which is no longer valid. Further details are provided in the form.

Investment Fund Managers AML/CFT market entry form:

The AML/CFT form for IFMs must be completed and added as enclosure to any submission of an application for the set-up of an authorised or registered Investment Fund Manager.

It must also be renewed when requesting approval of an additional licence, a licence extension or a change in the shareholder structure of the IFM. This aims at providing licence or shareholder related information and to update any information previously submitted which is no longer valid. Further details are provided in the form.