AIFMD Annex IV Reporting

We help Alternative Investment Fund Managers unify trusted data, strengthen controls, identify exceptions early, and deliver Annex IV reporting through one scalable workflow.

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What will the changing regulations mean for our clients

AIFMD will expand the depth, consistency, and scope of supervisory reporting. Firms will need to manage more granular data across funds, portfolios, exposures, counterparties, liquidity, and leverage—while preparing for separate EU and UK reporting regimes.

Expanded data scope

Reporting is expected to move beyond principal markets, instruments, and top exposures toward more comprehensive coverage of markets, instruments, exposures, and assets for each AIF.

Higher data-standardisation expectations

ESMA is expected to define identifiers that link reported data on assets, AIFMs, and AIFs to supervisory and public sources, increasing the need for consistent, accurate reference data.

Separate UK and EU reporting

The UK has issued consultation papers and a draft reporting template for its Fund Reporting for Asset Management Entities (FRAME) regime, which will create an additional reporting workstream for firms operating across both jurisdictions.

Leverage transparency

Gross and commitment leverage reporting, including exposures arising from repo, borrowing, and derivatives.

Liquidity profiling

Portfolio liquidity buckets, investor redemption terms, lockups, and gates reported at AIF level.

Counterparty and risk monitoring

Counterparty names, LEIs, exposures, collateral, and stress-testing information.

Investor concentration

Disclosure of investors holding more than 10% of AUM and investor-type breakdowns.

Bring control to Annex IV Reporting.

Broadridge FundPodium brings data, controls, and reporting workflows together - helping your teams reduce manual effort, identify exceptions earlier, and prepare Annex IV filings with greater confidence. Connect the data sources that support your reporting process, generate calculations, apply consistent controls, validate information across reporting periods, and create submission-ready output with a complete audit trail.

Multi-source data ingestion and cross-regulation data reuse from existing PRIIPs, UCITS, and Solvency II datasets
Data mapping, enrichment, and validation before report creation
Automated completeness checks, consistency flags, and error detection
Secure submission-ready output with full audit trail and version history
Consolidated reporting across multiple regimes in one platform
Active engagement with regulators and industry bodies to prepare for developments including FRAME and AIFMD

A controlled process from source data to submission

Data aggregation

Collect and consolidate fund, portfolio, risk, counterparty, investor, and reference data from relevant internal and external sources.

Enrichment and validation

Apply data mapping, enrichment, calculations, completeness checks, and cross-period validation to identify exceptions before filing.

Report creation

Generate standardised XML reporting output aligned to applicable reporting requirements.

NCA submission

Produce secure, submission-ready files supported by a complete audit trail.

Regulatory Timeline

Timing	ESMA / EU	FCA / UK
4 May 2026	Final Report proposes an integrated funds-data collection in two phases: Phase 1 consolidates AIFMD and UCITS reporting; Phase 2 expands to MMFR, statistical and potentially other fund reporting.	—
14 July 2026	—	CP26/28 (UK AIFM Regime) and CP26/26 (FRAME) (including draft reporting template) published.
Later 2026	Consultation expected on the proposed standards.	Consultation expected on the proposed standards. Issuance of a wider FRAME prototype form for voluntary industry testing and feedback.
2027	IT-system development intended, subject to funding.	Final policy statements and Handbook rules planned alongside HM Treasury's final statutory instrument.
April 2027	Draft Regulatory Technical Standards and Implementing Technical Standards expected.	—
2028	—	New UK AIFM regime and FRAME reporting framework scheduled to take effect.
H1 2029	Earliest expected implementation of Phase 1.	—
2031	Earliest expected implementation of Phase 2.	—

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Accountable, responsive Client Service teams based in: Ireland, the United Kingdom, France, Italy, Germany, the Czech Republic, Poland, Sweden, and Romania

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Regulatory Specialists

Active engagement with FCA working groups, EFAMA, ICI, Irish Funds, and the Investment Association

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AIFMD Annex IV Reporting

What will the changing regulations mean for our clients

Prepare for a new reporting landscape

Bring control to Annex IV Reporting.

A controlled process from source data to submission

Regulatory Timeline

Experience the Broadridge advantage

Insights and perspectives

Regulatory Communications EU/UK

Leading European ManCo accelerates fund reporting with Broadridge

U.K. and E.U. Regulatory Update - April to July 2026

EU and UK Regulatory Services

Global Fund Data and Document Dissemination

Get our ‘Better outcomes for digital customers’ UK report today