Financial markets are closely regulated to ensure they function efficiently and effectively. Governments and regulatory authorities around the globe have proposed and enacted numerous reforms to help create a more robust financial system.
Shareholder rights: transparency statement, engagement policy and voting rights
Credit Suisse Asset Management ensures that investee companies follow good governance practices engaging with companies and by exercising voting rights.
Further information:
- Sustainable Investing Policy
Visit the dedicated website for regulatory disclosures relating to sustainable investing. - CS Transparency Statement (PDF EN)
The Transparency Statement explains how UBS Asset Management (Switzerland) AG complies with the transparency requirements in Art. 3i of SRD II for the legacy Credit Suisse funds and mandates. - CS Engagement Policy Statement (PDF EN)
Download information on implementation of the Credit Suisse Engagement Policy Statement for funds in scope of SRD II is disclosed in the Proxy Voting Dashboard. This includes a general description of voting behavior and the votes cast in general meetings. - Proxy Voting Dashboard for CS Legacy Funds
- Proxy Voting Guidelines (PDF)
Regulatory disclosures relating to sustainable investing of UBS Asset Management (Europe) S.A. (hereinafter referred to as “UBS AME”)
Please note that details on the CSAM Sustainable Investing Policy and Regulatory Methodologies and Standards can be found here.
Regulatory disclosures relating to sustainable investing of UBS Asset Management (Europe) S.A. (hereinafter referred to as “UBS AME”)
Please note that details on the CSAM Sustainable Investing Policy and Regulatory Methodologies and Standards can be found here.
Transparency of sustainability risk policies
Pursuant to EU Regulation (EU) 2019/2088 of the European Parliament and of the Council of 27 November 2019 on sustainability-related disclosures in the financial services sector (the “SFDR”) Article 3, financial market participants shall publish on their websites information about their policies on the integration of sustainability risks in their investment decision‐making process.
Sustainability risk is defined as an environmental, social, or governance event or condition that, if it occurs, could have a material negative impact on the value of investments. The materiality of sustainability risks is determined by the likelihood, magnitude, and time horizon of the risk materializing. Sustainability risks can be understood as a subcategory of traditional risk types (e.g. credit, market, liquidity, operational, and strategy risk) and are identified and managed in the context of risk-management processes. Since sustainability risks differ between asset classes and investment styles, they are defined at the portfolio level.
In addition to the risk-management processes, Credit Suisse Asset Management has established a Sustainable Investing Policy that specifies for investment funds following a sustainable investing strategy, how to integrate ESG factors into the investment process in order to identify sustainability-related opportunities and to reduce sustainability risks further.
Review of disclosures
SFDR Article 12 requires financial market participants to ensure that any information published in accordance with Article 3, 5, or 10 is kept up to date. Where a financial market participant amends such information, a clear explanation of such an amendment shall be published on the same website.
The following table explains the amendments on disclosures related to SFDR Articles 3 and 5. Information regarding Art. 10 is available on ubs.com/funds.
Table of revisions
Date | Date | Article | Article | Explanation of amendments | Explanation of amendments |
|---|---|---|---|---|---|
Date | 23.02.2023 | Article | All | Explanation of amendments | Specification that the disclosures apply to UBS AME |
Date | 01.01.2023 | Article | 4 | Explanation of amendments | No consideration of adverse impacts according to SFDR Art. 4. |
Date | 10.03.2021 | Article | All | Explanation of amendments | Disclosures according to SFDR Level 1 requirements |
Summary of Investor Rights for EEA domiciled funds
This statement is a summary of investor rights prepared in relation to Regulation (EU) 2019/1156 of the European Parliament and of the Council of June 20, 2019 on facilitating cross-border distribution of collective investment undertakings and amending Regulations (EU) No 345/2013, (EU) No 346/2013 and (EU) No 1286/2014 (the "Regulation"). One of the goals of the Regulation is to ensure that investors are provided with a summary of investor rights resulting from their investment in an undertaking for collective investment in transferable securities in the meaning of Directive 2009/65/EC or, under certain circumstances, in an alternative investment fund in the meaning of Directive 2011/61/EU (hereinafter referred to as "Fund" or jointly as "Funds").
It is not the intention of this summary to give an exhaustive list of rights Investors may have. Further information may also be obtained in the respective Fund's prospectus, offering document or other pre-contractual disclosure document as well as by contacting the management company or alternative investment fund manager ("AIFM"), respectively.
You can find information on data protection and disclosure for AM CS entities here: www.credit-suisse.com/ch/en/legal.html
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