Legal & Compliance

GMO LLC Form ADV Part 2A 
Form ADV Part 2A, March 30, 2021

GMO LLC Form ADV Part 2B 
Form ADV Part 2B, March 30, 2021


GMO Form ADV Part 1:
The accompanying link will bring you to the website of the SEC where you may find GMO's Form ADV Part 1 by following these instructions: In the Firm Name box, enter “Grantham” and click Go; in the new window, click GRANTHAM MAYO VAN OTTERLOO & CO LLC. http://www.adviserinfo.sec.gov


GMO UK Limited Pillar 3 Disclosure
As of December 31, 2020

U.K. Stewardship Code
GMO Legal Team - Published October 16, 2018
Statement Regarding Support of the U.K. Stewardship Code.

Statement 172
As of December 31, 2020

Responsible Investment Policy
As of April 2021

Supplemental Terms and Conditions Regarding Use of Needs-Based Allocation Tool

 

If you have a complaint in relation to GMO UK or GMO Netherlands or you would like further information about their complaints handling procedures please email: ComplaintsOfficer@gmo.com.

 

Disclosure pursuant to Article 4(3) of Regulation (EU) 2019/1156 on investor rights and access to collective redress mechanisms


The legal relationship between an investor and GMO Investments ICAV and GMO Funds Plc, each an umbrella fund with segregated liability between sub-funds (the umbrella fund and each sub-fund, collectively and individually, the “Fund”) is a contractual one, governed principally by the application form executed by the investor when subscribing for shares in the Fund and the constitutional document. As an investor in the Fund, an investor has various rights which derive from

  • the application form, the constitutional document, and other relevant documents of the Fund; and
  • Applicable Law and Regulation*.


Such rights may include, but are not limited to, the right to participate in changes in the net asset value of such investor’s shares; the right to a share of any dividends or distributions paid out by the Fund; the right to attend at general meetings of the shareholders of the Fund and to vote on any motion tabled at such meetings; subject to certain conditions, the right to call a general meeting of investors in the Fund; the right to request the redemption of the investor’s shares by the Fund and certain rights in respect of how the Fund uses the investor’s personal data. The exercise by an investor of these rights is strictly subject to the terms and conditions of the relevant Fund documents and/or legislation from which these rights derive. The foregoing is only a brief summary of examples of the rights of an investor in relation to the Fund. For a more detailed description of their rights vis-à-vis the Fund, investors should consult their own legal advisor.

Both the subscription agreement between an investor and the Fund and the constitutional document are governed by Irish law. In the event that an investor believes they have suffered loss as a result of the actions or inactions of the Fund or the relevant UCITS management company, an investor may take proceedings against such parties in the Irish courts or, in certain circumstances, in the courts of another jurisdiction. Whether the judgment of a foreign court will be recognised and enforced against the UCITS management company in Ireland will depend on the circumstances of the case and will be subject to the relevant national and international law that governs such matters in Ireland. At present, pending implementation of Directive (EU) 2020/1828 on representative actions for consumers, there are no recognised means, in Ireland or at EU level, by which an investor who may have suffered a loss as result of the actions or inactions of the Fund or the UCITS management company may seek collective redress.

*Applicable Law and Regulation in this regard includes, but is not limited to, the Irish Collective Asset-management Vehicles Act 2015, the Companies Act 2014, the European Communities (Undertakings for Collective Investment in Transferable Securities) Regulations 2011 and the Central Bank (Supervision and Enforcement) Act 2013 (Section 48(1)) (Undertakings for Collective Investment in Transferable Securities) Regulations 2019, the Irish Data Protection Acts 1988 to 2018, the General Data Protection Regulation (Regulation (EU) 2016/679), the EU ePrivacy Directive 2002/58/EC, each as amended or replaced from time to time.