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This note is intended as a summary of your key rights as a Shareholder in Nikko AM Global Umbrella Fund (the “Fund”) for the purposes of the European Union Cross Border Distribution Regulation (Regulation (EU) 2019/1156). It is not intended to be and should not be considered as an exhaustive list of all rights which Shareholders may have in respect of the Fund.

As an investor in a UCITS fund, and depending on how you invested, you may have certain investor rights arising under contract between yourself and the Fund. For further details on these rights, please refer to the Prospectus and to the contractual documentation which you completed in order to make your investment.

Unless otherwise defined, capitalised terms herein have the same meaning as is stated in the Fund’s Prospectus.

Please refer to the Prospectus of the Fund for further details in respect of the functioning of the Fund.

  • Right to Receive Information – Each Shareholder has the right to receive certain information about the Fund in which the Shareholder has invested. As an investor, a copy of the latest annual and, if available, semi-annual financial statement of the Fund will be available on the following website UCITS - NGUF or made available to you upon request and free of charge.
    The latest net asset value per Share of the Sub-Funds of the Fund is also available at the website.
    The current Prospectus of the Fund is also available on the same website. As an investor, your right to information will be guaranteed and any material changes to certain information contained in the Prospectus provided to you before you invested shall be notified to you in accordance with applicable regulatory requirements.
  • Right to Participate in the Investments of the Fund – The Shares entitle the holders to participate proportionately in the profits and losses of the relevant Sub-Fund to which the Shares relate, subject to any differences between the terms / characteristics applicable to different Share Classes. Full details of each Sub-Fund’s investment objective and policy and Share Class features are set out in the Prospectus.
  • Right to Receive Income – Investors are entitled to redeem their investment and receive the redemption proceeds related to their Shares within the timeframe and subject to such conditions as detailed in the Prospectus. Investors, to the extent they subscribed for the relevant Shares, may also be entitled to receive dividend distributions, within the timeframe and subject to such conditions as detailed in the Prospectus of the Fund.
  • Right to Attend and Vote at Shareholder Meetings – Each Shareholder has the right to receive notice of, attend in person or by proxy and vote at general meetings of the Fund.
  • Right to Redeem Shares Directly – Each Shareholder has the right to request the Fund to redeem the Shareholder’s Shares on a Valuation Day for the relevant Sub-Fund at their net asset value, subject to the terms of the redemption process set out in the Prospectus.
  • Right to Data Privacy – Subject to applicable law, investors may have rights in respect of their personal data, including a right to access and rectification of their personal data and in some circumstances a right to object to the processing of their personal data. The Privacy Notice is available at the aforementioned website.
  • Right to Complain – Each Shareholder has the right to complain to the Management Company of the Fund in the event that it is not satisfied with its experience as an investor.

This summary of key rights is not and does not purport to be exhaustive and Shareholders should review the Prospectus in its entirety and consult with their professional advisers to understand their rights more fully.