Legal Certainty in the Distribution of Investment Funds

Compliant fund distribution – sound advice for investors

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The distribution of investment funds is legally complex, particularly in cross-border scenarios, when targeting institutional investors and in relation to ESG-classified products. Management companies, fund initiators and distribution platforms face the challenge of reconciling regulatory requirements with the realities of investor communication.

Our Services

We advise management companies, institutional investors, distribution platforms, depositaries and fund initiators in particular.

Advice on fund distribution regulation (domestic and cross-border)
Support with pre-marketing and marketing activities
Drafting and review of distribution documentation
Assistance with distribution notifications to BaFin
Target fund due diligence, including assessments of eligibility under investment fund, insurance supervisory and tax law, reviews of the market standard of terms and conditions, as well as the drafting and negotiation of side letter agreements

Positioning investment products successfully

Today’s investors expect not only performance, but also transparency, ESG compliance and tax efficiency. As a result, the requirements relating to fund distribution, product documentation and investor communications continue to increase.

Annerton supports clients in distributing fund products in compliance with applicable regulatory requirements and in a manner tailored to their target investor groups. We understand both the regulatory framework and the expectations of institutional investors, combining these perspectives to provide advice that is practical, well-founded and forward-looking.