Information requirements

Master data on the investment funds

Prior to the first date of inclusion in the SP Option Scheme, the investment funds are to submit a number of master data on the registered investment funds to Morningstar. The investment funds are obliged to update these master data continually if the data are changed.

Information to be submitted when registering for the SP Option Scheme

For the purpose of registering, the investment fund is to submit the following documentation:

• Registration form
• 3 counterparts of the Cooperation Agreement
• Authorisation/marketing authorisation from the Danish Financial Supervisory Authority
• Latest prospectus
• Documentation for the authorised officers of the investment fund
• Accountant’s declaration documenting that the investment funds comply with sections 2 and 12(3) of the Executive Order on Requirements for Investment Undertakings included in the SP Option Scheme, cf Clause 7 of the Cooperation Agreement
• For investment undertakings registered in Luxembourg: a statement of jurisdiction

No later than 1 month after the first date of inclusion, the investment funds are also to submit the following documents in PDF to the Copenhagen Stock Exchange via StockWise:

• simplified prospectus
• latest annual report and
• latest interim accounts

The investment funds are also to submit historic, daily net asset values to Morningstar.

Information to be submitted annually

Information on Total Costs, securities trading, trade-related depositary costs and commission costs is to be submitted to Morningstar no later than on 31 January. If based on financial data, the information is, however, to be submitted no later than 5 days after the publication of the annual report, cf Appendix 5 to the Cooperation Agreement.

The investment funds are to submit the following documents in PDF to the Copenhagen

Stock Exchange via StockWise:

• No later than on 31 March each year, the investment funds are to submit an accountant’s declaration in PDF documenting that the investment funds comply with sections 2, 5 and 12(3) of the Executive Order on Requirements for Investment Undertakings included in the SP Option Scheme.

• The investment fund is to submit annual reports in PDF for the investment funds registered no later than 1 week after publication.

• The investment fund is to submit interim reports in PDF for the investment funds registered no later than 1 week after publication.

• No later than on 1 November each year, the investment fund is to submit an updated trading calendar in Excel for the following year.

The documents are also to be submitted at any time in case of any update.

Quarterly information requirements

The investment fund is to submit an updated portfolio survey to Morningstar on a quarterly basis no later than at the end of the first month of the following quarter.

Daily information requirements

The investment funds are to submit the following information to Morningstar on a daily basis:

No later than at 9 pm on trading days, the investment fund is to submit

• net asset value (and date of the latest calculation)

• issue price – if single pricing = net asset value

• redemption price – if single pricing = net asset value

• volume in circulation

• latest dividend (and date of such dividend)

• latest split (and date of such split)

• denomination

• trading currency and

• a number of master data

concerning the investment funds included in SP Option Scheme.

Contact information

SP-Valg
Nikolaj Plads 6
Postbox 1040
1007 København K

E-mail: spvalg@nasdaqomx.com
Phone: +45 33 77 03 85 / +45 33 77 03 84
Fax: +45 33 12 86 13

Agreement documents

Cooperation Agreement
Clarification for participation
Executive Order ATP
Registration Form
Legal Proceedings Clause
Auditors' Opinion
Guidance to completion of Appendix 6
Cross-border activities