Asset Managers and the Shareholders Rights Directive

The Shareholders Rights Directive 2017/828, which amends the Shareholders Rights Directive 2007/36, (collectively, the “SRD”) imposes a number of transparency obligations on asset managers that invest in shares traded on a regulated market on behalf of investors. In particular, an asset manager must: a) put in place a shareholder engagement policy and make disclosures relating to that policy; and b) make disclosures to an institutional investor with which it has entered into an investment arrangement relating to that arrangement. This briefing sets out a number of Q&A on the nature and extent of the transparency obligations set out in the SRD as they apply to asset managers.

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