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+Article 3j 2. |
Article 3j 2.Member States shall ensure that, in order to adequately inform their clients about the accuracy and reliability of their activities, proxy advisors publicly disclose on an annual basis at least all of the following information in relation to the preparation of their research, advice and voting recommendations:
(a)
the essential features of the methodologies and models they apply;
(b)
the main information sources they use;
(c)
the procedures put in place to ensure quality of the research, advice and voting recommendations and qualifications of the staff involved;
(d)
whether and, if so, how they take national market, legal, regulatory and company-specific conditions into account;
(e)
the essential features of the voting policies they apply for each market;
(f)
whether they have dialogues with the companies which are the object of their research, advice or voting recommendations and with the stakeholders of the company, and, if so, the extent and nature thereof;
(g)
the policy regarding the prevention and management of potential conflicts of interests. The information referred to in this paragraph shall be made publicly available on the websites of proxy advisors and shall remain available free of charge for at least three years from the date of publication. The information does not need to be disclosed separately where it is available as part of the disclosure under paragraph 1. 1. Übersicht
1.1 Referenzen1.2 Identifizierte Anforderungen1.3 Zugehörige Standards2. Identifizierte Anforderungen
3. Zugehörige Standards
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