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Commission Delegated Regulation (EU) No 231/2013Dangos y teitl llawn
Commission Delegated Regulation (EU) No 231/2013 of 19 December 2012 supplementing Directive 2011/61/EU of the European Parliament and of the Council with regard to exemptions, general operating conditions, depositaries, leverage, transparency and supervision (Text with EEA relevance)
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Changes to legislation:
Commission Delegated Regulation (EU) No 231/2013, Article 29 is up to date with all changes known to be in force on or before 30 December 2024. There are changes that may be brought into force at a future date. Changes that have been made appear in the content and are referenced with annotations.
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Changes and effects yet to be applied to Article 29:
- Regulation revoked by 2023 c. 29 Sch. 1 Pt. 3
Article 29U.K.Aggregation and allocation of trading orders
1.AIFMs can only carry out an AIF order in aggregate with an order of another AIF, a [F1UK UCITS] or a client or with an order made when investing their own funds where:
(a)it can be reasonably expected that the aggregation of orders will not work overall to the disadvantage of any AIF, [F1UK UCITS] or clients whose order is to be aggregated;
(b)an order allocation policy is established and implemented, providing in sufficiently precise terms for the fair allocation of aggregated orders, including how the volume and price of orders determines allocations and the treatment of partial executions.
2.Where an AIFM aggregates an AIF order with one or more orders of other AIFs, [F1UK UCITS] or clients and the aggregated order is partially executed, it shall allocate the related trades in accordance with its order allocation policy.
3.Where an AIFM aggregates transactions for its own account with one or more orders of AIFs, [F1UK UCITS] or clients, it shall not allocate the related trades in a way that is detrimental to the AIF, [F1UK UCITS] or a client.
4.Where an AIFM aggregates an order of an AIF, [F1UK UCITS] or another client with a transaction for its own account and the aggregated order is partially executed, it shall allocate the related trades to the AIF, [F1UK UCITS] or to clients in priority over those for own account.
However, if the AIFM is able to demonstrate to the AIF or to the client on reasonable grounds that it would not have been able to carry out the order on such advantageous terms without aggregation, or at all, it may allocate the transaction for its own account proportionally, in accordance with the policy referred to in point (b) of paragraph 1.
Textual Amendments
F1Words in Art. 29 substituted (31.12.2020) by The Alternative Investment Fund Managers (Amendment etc.) (EU Exit) Regulations 2019 (S.I. 2019/328), regs. 1(3), 24(5) (as amended by S.I. 2019/325, regs. 1(3), 58); 2020 c. 1, Sch. 5 para. 1(1)
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