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Book III - Service providers
Title I ter - Asset management companies of UCITS
Chapter III - Organisational rules
Section 5 - Complaint handling
Article 321-40 from 09/03/2018 to 07/05/2023

Article 321-40 into force from to

  • Version into force from to
ELI : /en/eli/fr/aai/amf/rg/article/321-40/20180309/notes

Asset management companies shall establish and maintain an effective and transparent procedure for reasonable and prompt handling of complaints received from holders of units or shares in a UCITS when no investment service is provided to them when they subscribe.

These unitholders or shareholders can file complaints free of charge with the asset management company.

Asset management companies shall respond to the complaint within a maximum of two months from the date of receipt of the complaint, except in duly justified exceptional circumstances.

They shall implement a procedure for handling complaints from unitholders and shareholders in an equal and consistent manner. This procedure shall be allocated the necessary resources and expertise.

Asset management companies shall record each complaint and the measures taken to handle it. They shall also implement a complaint handling monitoring system enabling them to identify problems and implement the appropriate corrective measures.

Information on the complaint handling procedure shall be made available to unitholders and shareholders free of charge.

The complaint handling procedure shall be proportionate to the size and structure of the asset management company.