+SECTION 2 Conflicts of interest
---+Article 30 Types of conflicts of interest
---+Article 31 Conflicts of interest policy
------+Article 31 1.
------+Article 31 2.
---+Article 32 Conflicts of interest related to the redemption of investments
---+Article 33 Procedures and measures preventing or managing conflicts of interest
------+Article 33 1.
------+Article 33 2.
---+Article 34 Managing conflicts of interest
---+Article 35 Monitoring conflicts of interest
------+Article 35 1.
------+Article 35 2.
---+Article 36 Disclosure of conflicts of interest
------+Article 36 1.
------+Article 36 2.
---+Article 37 Strategies for the exercise of voting rights
------+Article 37 1.
------+Article 37 2.
------+Article 37 3.

SECTION 2 Conflicts of interest

SECTION 2 Conflicts of interest

1. Prehľad

,
Article 30 Types of conflicts of interest

Article 30

Types of conflicts of interest

For the purpose of identifying the types of conflicts of interest that arise in the course of managing an AIF, AIFMs shall take into account, in particular, whether the AIFM, a relevant person or a person directly or indirectly linked by way of control to the AIFM:

(a) 

is likely to make a financial gain, or avoid a financial loss, at the expense of the AIF or its investors;

(b) 

has an interest in the outcome of a service or an activity provided to the AIF or its investors or to a client or of a transaction carried out on behalf of the AIF or a client, which is distinct from the AIF’s interest in that outcome;

(c) 

has a financial or other incentive to favour:

— 
the interest of a UCITS, a client or group of clients or another AIF over the interest of the AIF,
— 
the interest of one investor over the interest of another investor or group of investors in the same AIF;
(d) 

carries out the same activities for the AIF and for another AIF, a UCITS or client; or

(e) 

receives or will receive from a person other than the AIF or its investors an inducement in relation to collective portfolio management activities provided to the AIF, in the form of monies, goods or services other than the standard commission or fee for that service.

▼M2

AIFMs shall ensure that when identifying the types of conflicts of interest, the existence of which may damage the interests of an AIF, they shall include those types of conflicts of interest that may arise as a result of the integration of sustainability risks in their processes, systems and internal controls.

▼B

Article 31 Conflicts of interest policy
Article 32 Conflicts of interest related to the redemption of investments

Article 32

Conflicts of interest related to the redemption of investments

The AIFM that manages an open-ended AIF shall identify, manage and monitor conflicts of interest arising between investors wishing to redeem their investments and investors wishing to maintain their investments in the AIF, and any conflicts between the AIFM’s incentive to invest in illiquid assets and the AIF’s redemption policy in accordance with its obligations under Article 14(1) of Directive 2011/61/EU.
Article 33 Procedures and measures preventing or managing conflicts of interest
Article 34 Managing conflicts of interest

Article 34

Managing conflicts of interest

Where the organisational or administrative arrangements made by the AIFM are not sufficient to ensure, with reasonable confidence, that risks of damage to the interests of the AIF or investors in the AIF are prevented, the senior management or other competent internal body of the AIFM shall be promptly informed in order to take any necessary decision or action to ensure that the AIFM acts in the best interests of the AIF or the investors in that AIF.
Article 35 Monitoring conflicts of interest
Article 36 Disclosure of conflicts of interest
Article 37 Strategies for the exercise of voting rights

1.1 Odkazy

1.2 Identifikované požiadavky

1.3 Súvisiace štandardy

2. Identifikované požiadavky

Požiadavky

3. Súvisiace štandardy

Štandardy