What is Annex IV?
Annex IV is the standardized reporting template defined under the AIFMD that AIFMs must complete and submit to their National Competent Authority (NCA). It captures comprehensive information about each managed alternative investment fund, including assets under management, investment strategies, leverage, risk profiles, liquidity, and counterparty exposures.
Under AIFMD II, the Annex IV template has been significantly expanded. New data fields cover loan-originating activities, ESG-related metrics, detailed leverage calculations using multiple methods, and more granular counterparty exposure reporting. The template is submitted in XML format conforming to an XSD schema defined by ESMA.
Each NCA may impose additional requirements on top of the base ESMA template, resulting in country-specific variations of the Annex IV filing. The reporting frequency (quarterly, semi-annual, or annual) depends on the size and type of the AIFM and its managed funds.
Why It Matters for Compliance
Annex IV is the core regulatory filing for every AIFM in the EU. Getting it wrong means regulatory scrutiny, potential fines, and operational disruption. The AIFMD II expansion adds dozens of new required fields, and each NCA may add its own requirements on top. Accurate, timely Annex IV reporting is non-negotiable for market access.
How Caelith Helps
Caelith generates complete Annex IV XML files validated against both the ESMA base schema and NCA-specific extensions. Our system pre-fills data from your fund records, flags missing fields, and validates before submission — eliminating rejection risk.
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