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Book III - Service providers
Title I ter - Asset management companies of UCITS
Chapter IV - Conduct of business rules
Section 4 - Information about subscription or redemption orders for units or shares of UCITS and the management of UCITS
Sub-section 2 - Reporting on UCITS management
Article 321-133 from 03/01/2018 to 17/05/2020

Article 321-133 into force from to

  • Version into force from to
ELI : /en/eli/fr/aai/amf/rg/article/321-133/20180103/notes

In a report drawn up within four months of the end of its financial year and appended to the management report of the board of directors or executive board, as the case may be, asset management companies shall report on how they have exercised voting rights in the past year.

This report shall specify, inter alia:

  1. The number of companies in which the asset management company exercised voting rights, compared with the total number of companies in which it had voting rights;

  2. The cases in which the asset management company considered that it could not adhere to the principles set forth in its voting policy document;

  3. The conflicts of interest that the asset management company had to deal with in exercising voting rights attaching to securities held by the UCITS that it manages.

This report shall be made available to the AMF. It must be available for viewing on the asset management company's website or at its registered office under the terms and conditions specified in the prospectus.

Where an asset management company has not exercised any voting rights during the financial year, further to the voting policy it has drawn up under Article 321-132, it does not prepare the report stipulated in this article but shall ensure that unit holders and investors can access said voting policy on its website.