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Article 411-137-1 into force since

  • Version into force since
ELI : /en/eli/fr/aai/amf/rg/article/411-137-1/20210731/notes

I. - An UCITS that intends to market its units or shares in another State shall provide investors who are located in the territory of that State with facilities to perform the following tasks:

a) Processing subscription, repurchase and redemption orders and making other payments to the unitholders, in accordance with the conditions set out in the documents referred to in Article L. 214-23-1 of the Monetary and Financial Code;

b) Informing investors how the orders referred to in a) can be placed and of the procedures for payment of the revenues resulting from repurchases and redemptions;

c) Facilitating information processing and access to the procedures and methods of processing complaints for investors' exercise of the rights relating to their investment in the UCITS in the State in which the UCITS is marketed;

d) Making the information and information documents mentioned in Article 411-138 available to investors under the conditions set out by said Article, so that they may examine it and make copies;

e) Providing investors, on a durable medium within the meaning of Article 314-5, with information relating to the tasks that these facilities make it possible to perform; and

f) Serving as a contact point for communicating with the competent authorities.

II. - The UCITS shall ensure that facilities to perform the tasks referred to in I, including electronically, are provided:

a) In the official language, or one of the official languages, of the State in which the UCITS is marketed or in a language accepted by the competent authorities of that State;

b) By itself or by a third party subject to the regulations and supervision governing the tasks to be performed, or by both at once.

For the purpose of b), when the tasks are to be carried out by a third party, the appointment of this third party shall be covered by a written contract specifying the tasks that are not to be carried out by the UCITS, among those referred to in I, and stipulating that the third party will receive all useful information and documents from the UCITS.