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Home Topic Periodic reporting obligations for non-EEA AIFMs under the Act on the Management of Alternative Investment Funds (AIFMD Annex IV reporting)

Periodic reporting obligations for non-EEA AIFMs under the Act on the Management of Alternative Investment Funds (AIFMD Annex IV reporting)

Non-EEA alternative investment fund managers that have been granted authorization to market alternative investment funds in Norway to professional investors in accordance with section 6-5 of the Norwegian Act on the Management of Alternative Investment Funds ('AIF Act') (Article 42 of the AIFMD) are required to report periodic information to Finanstilsynet.

Reporting to Finanstilsynet

Non-EEA AIFMs that, under the Norwegian private placement regime, have been granted authorisation by the Norwegian Financial Supervisory Authority (Finanstilsynet) to market units or shares of AIFs to professionals in Norway, are subject to reporting obligations under Article 24 of the AIFMD for the AIFs marketed in Norway. This provision is implemented in the AIF Act section 4-6 and requires an AIFM to report information to Finanstilsynet about the AIFM, as manager, and the AIFs managed and marketed by the AIFM.

Non-EEA AIFMs are not required to report information in respect of AIFs that they manage but which are not marketed in Norway.

AIFMs should start reporting as from the first day of the following quarter after they have information to report until the end of the first reporting period. The information should be provided as soon as possible and not later than one month after the end of the relevant reporting period. For example, a non-EEA AIFM subject to half-yearly reporting obligations that has information to report as from 15 August 2015 would start reporting information as from 1 October to 31 December 2015.

Where the AIF is a fund of funds, this period may be extended by the AIFM by 15 days.

Finanstilsynet will be ready to receive Annex IV reports from AIFMs as from 1 January 2016. AIFMs should not submit reports for preceding reporting periods.

Technical guidance

In order to establish an adequate level of security, Finanstilsynet only allows approved IP addresses access to the report server. In order to gain access to the server, the AIFM must provide Finanstilsynet with the public IP address from which the FTP server is to be accessed.  Until the IP address has been approved, the FTP server will be inaccessible.

Please e-mail the information to support@finanstilsynet.no with the subject header "AIFMD - IP address". 

The body of the message must at least contain:

  • the IP address
  • the FT identification number
  • the name of the AIFM

You will find the FT identification number of the AIFM in Finanstilsynet's registry. Finanstilsynet will send the AIFM's password to the e-mail address from which the information about the IP address was sent (see below).

Generate the required report files in XML format, complying with the set of XSDs published:

Enclose the above created file in an envelope XML that complies with the XSD file
AIFMD_Reporting_NO_V1.0.xsd.

  • Be sure to enclose the XML in the FormData field using CDATA[] (see XML sample files)
  • Create separate envelope XML files for AIFM and AIF reporting 

The XMLs must be validated against the XSDs. This includes the XML in the FormData/CDATA section.

Name the reporting files according to the following naming convention:

AIFM-reporting file: <Manager's FT identification number>_<DATMAN >_NO_<6-digit sequence number>_YY.xml. The <YY> stands for year. 

Example:



AIF-reporting file: <Manager's FT identification number>_<DATAIF >_NO_<6-digit sequence number>_YY.xml. The <YY> stands for year. 

Example:



The 6 digit sequence number should never be the same, not even when the year (YY) digit changes. The combination of your FT number and the sequence number should always be unique.  

Compress the files separately with a zip program and make sure the filename extension is .zip.

Each file must be zipped separately, and have the same name as the XML-file. Example:

Use a SFTP client to connect to Finanstilsynet's server at SFTP 195.159.150.101. Make sure that you have notified Finanstilsynet of your public IP address. Otherwise, access will be denied.

Log in with your username and password: 

  • The username of the AIFM consists of the letters AIFMD_<Manager's FT identification number> (e.g. "AIFMD_FT99999999")
  • The password will be sent to the the e-mail address from which the e-mail informing us of the IP address was sent (see information above) 

Navigate to the folder named "Reports"  and upload your report files to this folder:


Feedback will be sent via e-mail. Please make sure you read the feedback carefully. Correct and resubmit the report files if necessary. Remove excess files from the server if there has been more than one submission per period.

XSD files:

The XMLs must be validated against the XSDs. This includes the XML in the FormData/CDATA section.

XML sample files:

For more information about the reporting obligations, AIFMs may refer to ESMA's Guidelines on reporting obligations under Articles 3(3)(d) and 24(1), (2) and (4) of the AIFMD, including Annex I to the guidelines which sets out 'Reporting obligation diagrams' for 'Non-EU AIFMs under Private Placement Regime'. ESMA's final version of the guidelines was published on 8 August 2014 and can be found at: 

Guidelines on reporting obligations under Articles 3(3)(d) and 24(1), (2) and (4) of the AIFMD.pdf