Summary of Investor Rights
Introduction
This page contains a summary of your key rights as an investor in a UCITS sub-fund or Alternative Investment Fund managed or advised by Fair Oaks Capital Limited, for the purposes of the European Union Cross Border Distribution Regulation (Regulation (EU) 2019/1156). It is not an exhaustive list of all rights and your rights will vary depending on the nature of your investment. Investors should carefully review the relevant legal documents (“Fund Legal Documents”) for the product (“Fund”) they intend to invest into and consult with their professional advisers to understand their rights.
Right to Participate in the Investments of a Fund
Investors are entitled to participate in the profits and losses of the Fund in which they have invested as set out in the relevant Fund Legal Documents, subject to any differences between the terms applicable to different classes (if any) of that Fund. Full details of each Fund’s investment objective, policy and other characteristics are set out in the Fund Legal Documents.
Right to Receive Income
Investors are entitled to participate in the profits and net assets of the Fund in which they have invested as set out in the relevant Fund Legal Documents. Each Fund (or class thereof) may differ in terms of whether they distribute, their distribution frequency and in terms of the basis for calculating the investor’s share of distributions.
Right to Receive Information
Investors may request copies of the Fund Legal Documents (including, as applicable, Articles, Prospectus, Key Investor Information Documents, Key Information Documents, Limited Partnership Agreements and Private Placement Memorandums) provided that Fair Oaks Capital Limited shall not be obliged to provide such Fund Legal Documents and reports.
Copies of the Fund Legal Documents for the Fair Oaks Dynamic Credit Fund and Fair Oaks AAA CLO Fund, each sub-funds of Alpha UCITS SICAV, may be found at www.fairoakscap.com or, in the case of ETF classes only, www.clo-etf.com.
Right to Attend and Vote at Fund Meetings
The right of an investor to participate at a general meeting and to exercise voting rights attached to their investment shall be determined as set out in the relevant Fund Legal Documents.
Right to Redeem Fund interests
Investors in open-ended funds have the right to redemption according to the process set out in the relevant Fund Legal Documents. Investors are reminded that in certain circumstances their right to redeem or, where relevant, switch shares or other interests in the Fund, may be suspended. Please refer to the Fund Legal Documents for further details.
Investors in ETF classes have the right to sell their ETF shares on those exchange(s) on which the ETF shares are listed as more particularly described in the Fund Legal Documents. There can be no guarantee that an active trading market for ETF Shares will develop or be maintained on such exchanges or that those exchange listings will be maintained.
Right to Data Privacy
Subject to applicable law, investors may have rights in respect of their personal data. Please find a copy of the privacy policy at Privacy - Fair Oaks Capital which details how Fair Oaks Capital Limited collect, use, disclose, transfer, and store your information.
Right to Complain
Any person who would like to receive further information regarding the relevant Fund or who wishes to make a complaint about the operation of a Fund should contact the Compliance Officer, Fair Oaks Capital Limited, 1 Old Queen Street, London SW1H 9JA.
This summary of key rights has been prepared for information purposes only and does not purport to be exhaustive. Investors should review the applicable Fund Legal Documents in their entirety and/or consult with their professional advisers to better understand their rights more fully. Investing through a nominee means that the nominee may only exercise certain of the investor's rights.
