AIFMD Registration Status

Please note, as of May 2, 2016, EnTrust Capital and the Permal Group combined to form EnTrustPermal.

EnTrustPermal Non-EU Funds

A. Countries in which EnTrustPermal currently intends to register its non-EU funds

Country

EnTrustPermal fund

Notification / registration process complete (Y/N)

Application form submitted(Y/N)

Anticipated

Tier 1

Luxembourg

Multi-Manager Funds

Registered

Permal Emerging Markets Holdings N.V.*

N

N

Curacao has not yet entered into a cooperation agreement

Permal European Holdings N.V.*

N

N

Curacao has not yet entered into a cooperation agreement

Permal Macro Holdings Ltd.

Y

Y

Registered

Permal Investment Holdings N.V.*

N

N

Curacao has not yet entered into a cooperation agreement

Permal Japan Holdings N.V.*

N

N

Curacao has not yet entered into a cooperation agreement

Permal Fixed Income Holdings N.V.*

N

N

Curacao has not yet entered into a cooperation agreement

Permal Hard Assets Fund Ltd.

Registered

Single Manager Funds

Registered

Permal Fixed Income Special Opportunities Ltd.

Y

Y

Registered

Permal Global Opportunities Ltd.

Y

Y

Registered

Permal U.S. Opportunities Ltd.

Y

Y

Registered

Permal Systematic Macro Ltd.

Y

Y

Registered

Leveraged Funds

Registered

Permal Macro Holdings – Leveraged Ltd.

Y

Y

Registered

Permal Fixed Income Holdings – Leveraged Ltd.

Y

Y

Registered

Institutional Funds

Y

Y

Registered

Permal Fixed Income Holdings Institutional Ltd.

Y

Y

Registered

Permal Investment Holdings Institutional Ltd.

Y

Y

Registered

Permal Macro Holdings Institutional Ltd.

Y

Y

Registered

Strategic Funds

Y

Y

Registered

Permal Strategic Funds SPC – Strategic Allocation Fund (Segregated Portfolio)

Y

Y

Registered

Permal London Funds

Y

Y

Registered

Permal Activist Fund Limited

Y

Y

Registered

SHD Umbrella Fund PLC

Y

Y

Registered

Permal Absolute Return Master Fund Limited

Y

Y

Registered

Permal Absolute Return Fund PCC Limited

Y

Y

Registered

Permal Special Situations Fund PCC Limited - Permal Special Situations Fund

Y

Y

Registered

Netherlands

Multi-Manager Funds

Registered

Permal Emerging Markets Holdings N.V.*

Y

Y

Curacao has not yet entered into a cooperation agreement

Permal European Holdings N.V.*

Y

Y

Curacao has not yet entered into a cooperation agreement

Permal Macro Holdings Ltd.

Y

Y

Registered

Permal Investment Holdings N.V.*

Y

Y

Curacao has not yet entered into a cooperation agreement

Permal Japan Holdings N.V.*

Y

Y

Curacao has not yet entered into a cooperation agreement

Permal Fixed Income Holdings N.V.*

Y

Y

Curacao has not yet entered into a cooperation agreement

Permal Hard Assets Fund Ltd.

Registered

Single Manager Funds

Registered

Permal Fixed Income Special Opportunities Ltd.

Y

Y

Registered

Permal Global Opportunities Ltd.

Y

Y

Registered

Permal U.S. Opportunities Ltd.

Y

Y

Registered

Permal Systematic Macro Ltd.

Y

Y

Registered

Leveraged Funds

Registered

Permal Macro Holdings – Leveraged Ltd.

Y

Y

Registered

Permal Fixed Income Holdings – Leveraged Ltd.

Y

Y


Registered

Institutional Funds

Y

Y

Registered

Permal Fixed Income Holdings Institutional Ltd.

Y

Y

Registered

Permal Investment Holdings Institutional Ltd.

Y

Y

Registered

Permal Macro Holdings Institutional Ltd.

Y

Y

Registered

Strategic Funds

Y

Y

Registered

Permal Strategic Funds SPC – Strategic Allocation Fund (Segregated Portfolio)

Y

Y

Registered

Permal London Funds

Y

Y

Registered

Permal Activist Fund Limited

Y

Y

Registered

SHD Umbrella Fund PLC

Y

Y

Registered

Permal Absolute Return Master Fund Limited

Y

Y

Registered

Permal Absolute Return Fund PCC Limited

Y

Y

Registered

Permal Special Situations Fund PCC Limited - Permal Special Situations Fund

Y

Y

Registered

Portugal

Multi-Manager Funds

TBC

Permal Emerging Markets Holdings N.V.*

N

N

Curacao has not yet entered into a cooperation agreement

Permal European Holdings N.V.*

N

N

Curacao has not yet entered into a cooperation agreement

Permal Macro Holdings Ltd.

N

N

TBC

Permal Investment Holdings N.V.*

N

N

Curacao has not yet entered into a cooperation agreement

Permal Japan Holdings N.V.*

N

N

Curacao has not yet entered into a cooperation agreement

Permal Fixed Income Holdings N.V.*

N

N

Curacao has not yet entered into a cooperation agreement

Permal Hard Assets Fund Ltd.

TBC

Single Manager Funds

TBC

Permal Fixed Income Special Opportunities Ltd.

N

N

TBC

Permal Global Opportunities Ltd.

N

N

TBC

Permal U.S. Opportunities Ltd.

N

N

TBC

Permal Systematic Macro Ltd.

N

N

TBC

Leveraged Funds

TBC

Permal Macro Holdings – Leveraged Ltd.

N

N

TBC

Permal Fixed Income Holdings – Leveraged Ltd.

N

N

TBC

Institutional Funds

N

N

TBC

Permal Fixed Income Holdings Institutional Ltd.

N

N

TBC

Permal Investment Holdings Institutional Ltd.

N

N

TBC

Permal Macro Holdings Institutional Ltd.

N

N

TBC

Strategic Funds

N

N

TBC

Permal Strategic Funds SPC – Strategic Allocation Fund (Segregated Portfolio)

N

N

TBC

Permal London Funds

N

N

TBC

Permal Activist Fund Limited

N

N

TBC

SHD Umbrella Fund PLC

N

N

TBC

Permal Absolute Return Master Fund Limited

N

N

TBC

Permal Absolute Return Fund PCC Limited

N

N

TBC

Permal Special Situations Fund PCC Limited - Permal Special Situations Fund

N

N

TBC

Spain

Multi-Manager Funds

TBC

N.V.*

N

N

Curacao has not yet entered into a cooperation agreement

Permal European Holdings N.V.*

N

N

Curacao has not yet entered into a cooperation agreement

Permal Macro Holdings Ltd.

N

N

TBC

Permal Investment Holdings N.V.*

N

N

Curacao has not yet entered into a cooperation agreement

Permal Japan Holdings N.V.*

N

N

Curacao has not yet entered into a cooperation agreement

Permal Fixed Income Holdings N.V.*

N

N

Curacao has not yet entered into a cooperation agreement

Permal Hard Assets Fund Ltd.

TBC

Single Manager Funds

TBC

Permal Fixed Income Special Opportunities Ltd.

N

N

TBC

Permal Global Opportunities Ltd.

N

N

TBC

Permal U.S. Opportunities Ltd.

N

N

TBC

Permal Systematic Macro Ltd.

N

N

TBC

Leveraged Funds

TBC

Permal Macro Holdings – Leveraged Ltd.

N

N

TBC

Permal Fixed Income Holdings – Leveraged Ltd.

N

N

TBC

Institutional Funds

N

N

TBC

Permal Fixed Income Holdings Institutional Ltd.

N

N

TBC

Permal Investment Holdings Institutional Ltd.

N

N

TBC

Permal Macro Holdings Institutional Ltd.

N

N

TBC

Strategic Funds

N

N

TBC

Permal Strategic Funds SPC – Strategic Allocation Fund (Segregated Portfolio)

N

N

TBC

Permal London Funds

N

N

TBC

Permal Activist Fund Limited

N

N

TBC

SHD Umbrella Fund PLC

N

N

TBC

Permal Absolute Return Master Fund Limited

N

N

TBC

Permal Absolute Return Fund PCC Limited

N

N

TBC

Permal Special Situations Fund PCC Limited - Permal Special Situations Fund

N

N

TBC

UK

Multi-Manager Funds

Registered

Permal Emerging Markets Holdings N.V.*

N

N

Curacao has not yet entered into a cooperation agreement

Permal European Holdings N.V.*

N

N

Curacao has not yet entered into a cooperation agreement

Permal Macro Holdings Ltd.

Y

Y

Registered

Permal Investment Holdings N.V.*

N

N

Curacao has not yet entered into a cooperation agreement

Permal Japan Holdings N.V.*

N

N

Curacao has not yet entered into a cooperation agreement

Permal Fixed Income Holdings N.V.*

N

N

Curacao has not yet entered into a cooperation agreement

Permal Hard Assets Fund Ltd.

Y

Registered

Single Manager Funds

Y

Registered

Permal Fixed Income Special Opportunities Ltd.

Y

Y

Registered

Permal Global Opportunities Ltd.

Y

Y

Registered

Permal U.S. Opportunities Ltd.

Y

Y

Registered

Permal Systematic Macro Ltd.

Y

Y

Registered

Leveraged Funds

Y

Registered

Permal Macro Holdings – Leveraged Ltd.

Y

Y

Registered

Permal Fixed Income Holdings – Leveraged Ltd.

Y

Y

Registered

Institutional Funds

Y

Y

Registered

Permal Fixed Income Holdings Institutional Ltd.

Y

Y

Registered

Permal Investment Holdings Institutional Ltd.

Y

Y

Registered

Permal Macro Holdings Institutional Ltd.

Y

Y

Registered

Strategic Funds

Y

Y

Registered

Permal Strategic Funds SPC – Strategic Allocation Fund (Segregated Portfolio)

Y

Y

Registered

Permal London Funds

Y

Y

Registered

Permal Activist Fund Limited

Y

Y

Registered

SHD Umbrella Fund PLC

Y

Y

Registered

Permal Absolute Return Master Fund Limited

Y

Y

Registered

Permal Absolute Return Fund PCC Limited

Y

Y

Registered

Permal Special Situations Fund PCC Limited - Permal Special Situations Fund

Y

Y

Registered

Tier 2**

Belgium

Multi-Manager Funds

N

N.V.*

N

N

Permal European Holdings N.V.*

N

N

Permal Macro Holdings Ltd.

N

N

Permal Investment Holdings N.V.*

N

N

Permal Japan Holdings N.V.*

N

N

Permal Fixed Income Holdings N.V.*

N

N

Permal Hard Assets Fund Ltd.

N

Single Manager Funds

N

Permal Fixed Income Special Opportunities Ltd.

N

N

Permal Global Opportunities Ltd.

N

N

Permal U.S. Opportunities Ltd.

N

N

Permal Systematic Macro Ltd.

N

N

Leveraged Funds

N

Permal Macro Holdings – Leveraged Ltd.

N

N

Permal Fixed Income Holdings – Leveraged Ltd.

N

N

Institutional Funds

N

N

Permal Fixed Income Holdings Institutional Ltd.

N

N

Permal Investment Holdings Institutional Ltd.

N

N

Permal Macro Holdings Institutional Ltd.

N

N

Strategic Funds

N

N

Permal Strategic Funds SPC – Strategic Allocation Fund (Segregated Portfolio)

N

N

Permal London Funds

N

N

Permal Activist Fund Limited

N

N

SHD Umbrella Fund PLC

N

N

Permal Absolute Return Master Fund Limited

N

N

Permal Absolute Return Fund PCC Limited

N

N

Permal Special Situations Fund PCC Limited - Permal Special Situations Fund

N

N

Finland

Multi-Manager Funds

Permal Emerging Markets Holdings N.V.*

N

N

Permal European Holdings N.V.*

N

N

Permal Macro Holdings Ltd.

N

N

Permal Investment Holdings N.V.*

N

N

Permal Japan Holdings N.V.*

N

N

Permal Fixed Income Holdings N.V.*

N

N

Permal Hard Assets Fund Ltd.

Single Manager Funds

Permal Fixed Income Special Opportunities Ltd.

N

N

Permal Global Opportunities Ltd.

N

N

Permal U.S. Opportunities Ltd.

N

N

Permal Systematic Macro Ltd.

N

N

Leveraged Funds

Permal Macro Holdings – Leveraged Ltd.

N

N

Permal Fixed Income Holdings – Leveraged Ltd.

N

N

Institutional Funds

N

N

Permal Fixed Income Holdings Institutional Ltd.

N

N

Permal Investment Holdings Institutional Ltd.

N

N

Permal Macro Holdings Institutional Ltd.

N

N

Strategic Funds

N

N

Permal Strategic Funds SPC – Strategic Allocation Fund (Segregated Portfolio)

N

N

Permal London Funds

N

N

Permal Activist Fund Limited

N

N

SHD Umbrella Fund PLC

N

N

Permal Absolute Return Master Fund Limited

N

N

Permal Absolute Return Fund PCC Limited

N

N

Permal Special Situations Fund PCC Limited - Permal Special Situations Fund

N

N

Liechtenstein

Multi-Manager Funds

Permal Emerging Markets Holdings N.V.*

N

N

Permal European Holdings N.V.*

N

N

Permal Macro Holdings Ltd.

N

N

Permal Investment Holdings N.V.*

N

N

Permal Japan Holdings N.V.*

N

N

Permal Fixed Income Holdings N.V.*

N

N

Permal Hard Assets Fund Ltd.

Single Manager Funds

Permal Fixed Income Special Opportunities Ltd.

N

N

Permal Global Opportunities Ltd.

N

N

Permal U.S. Opportunities Ltd.

N

N

Permal Systematic Macro Ltd.

N

N

Leveraged Funds

Permal Macro Holdings – Leveraged Ltd.

N

N

Permal Fixed Income Holdings – Leveraged Ltd.

N

N

Institutional Funds

N

N

Permal Fixed Income Holdings Institutional Ltd.

N

N

Permal Investment Holdings Institutional Ltd.

N

N

Permal Macro Holdings Institutional Ltd.

N

N

Strategic Funds

N

N

Permal Strategic Funds SPC – Strategic Allocation Fund (Segregated Portfolio)

N

N

Permal London Funds

N

N

Permal Activist Fund Limited

N

N

SHD Umbrella Fund PLC

N

N

Permal Absolute Return Master Fund Limited

N

N

Permal Absolute Return Fund PCC Limited

N

N

Permal Special Situations Fund PCC Limited - Permal Special Situations Fund

N

N

Sweden

Multi-Manager Funds

Permal Emerging Markets Holdings N.V.*

N

N

Permal European Holdings N.V.*

N

N

Permal Macro Holdings Ltd.

N

N

Permal Investment Holdings N.V.*

N

N

Permal Japan Holdings N.V.*

N

N

Permal Fixed Income Holdings N.V.*

N

N

Permal Hard Assets Fund Ltd.

Single Manager Funds

Permal Fixed Income Special Opportunities Ltd.

N

N

Permal Global Opportunities Ltd.

N

N

Permal U.S. Opportunities Ltd.

N

N

Permal Systematic Macro Ltd.

N

N

Leveraged Funds

Permal Macro Holdings – Leveraged Ltd.

N

N

Permal Fixed Income Holdings – Leveraged Ltd.

N

N

Institutional Funds

N

N

Permal Fixed Income Holdings Institutional Ltd.

N

N

Permal Investment Holdings Institutional Ltd.

N

N

Permal Macro Holdings Institutional Ltd.

N

N

Strategic Funds

N

N

Permal Strategic Funds SPC – Strategic Allocation Fund (Segregated Portfolio)

N

N

Permal Funds

N

N

Permal Activist Fund Limited

N

N

SHD Umbrella Fund PLC

N

N

Permal Absolute Return Master Fund Limited

N

N

Permal Absolute Return Fund PCC Limited

N

N

Permal Special Situations Fund PCC Limited - Permal Special Situations Fund

N

N


* Funds marked with an asterisk are incorporated in Curacao, a territory which has not yet signed a co-operation agreement with any EEA Member State. Therefore at present these funds cannot be marketed in the EU.
** These registrations will commence following completion of Tier 1 registrations.



B. Countries in which EnTrustPermal does not currently intend to register its non-EU funds

Bulgaria

Croatia

Cyprus

Czech Republic

Denmark

Estonia

France

Germany

Greece

Hungary

Iceland

Ireland

Italy

Latvia

Lithuania

Malta

Norway

Poland

Romania

Slovak Republic

Slovenia


EnTrustPermal EU Funds

A. Countries in which EnTrustPermal has registered its EU funds*
*Currently Permal Multi-Manager Funds (Lux) - Advantage Multi-Strategy Fund, Permal Multi-Manager Funds (Lux) - Natural Resources Fund, and Permal Multi-Manager Funds (Lux) - China Strategy Fund.

Austria

Belgium

Finland

France

Germany

Italy

Liechtenstein

Luxembourg

Netherlands

Norway

Portugal

Spain

Sweden

UK



B. Countries in which EnTrustPermal does not intend to register its EU funds

Bulgaria

Croatia

Cyprus

Czech Republic

Denmark

Estonia

Greece

Hungary

Iceland

Ireland

Latvia

Lithuania

Malta

Poland

Romania

Slovak Republic

Slovenia