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Compliance

Complaints handling Policy

Thematics Asset Management has set up a system for handling client complaints in an effective, transparent and uniform manner, in accordance with applicable regulations.

Counterparties Selection

Thematics Asset Management, as a professional asset manager, must carry out its duties independently and in the exclusive interest of its clients. In application of the European Directive 2014/65/EU on markets in financial instruments ("MiFID2"), Thematics Asset Management has set itself the following principles of conduct:

- Respect for the integrity, transparency and security of the markets;

- Compliance with the applicable regulations and the general rules of good conduct laid down by the profession;

- Respect for the primacy of clients' interests.

Intermediation fees report

In accordance with Article 321-122 of the General Regulation of the AMF, Thematics Asset management hereby reports that intermediation fees amounted to more than €500 million in 2021.

Remuneration Policy

This THEMATICS AM Remuneration Policy is composed of general principles that apply to all employees, principles that apply specifically to the population identified in UCITS V, and a governance system that applies to all employees. 

Conflicts of Interest Policy

Thematics AM provides investment management advice and asset management services to a variety of different clients. While engaging in their daily operations, Thematics AM may encounter potential conflicts of interest resulting from certain types of clients, investment strategies, and fee arrangements, among others. When acting in its capacity as fiduciary, Thematics AM owes its investment advisory clients a duty of loyalty. This policy aims at evaluating, managing and, where possible, mitigating, potential conflicts of interest. 

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