Statement regarding the IOSCO Principles for Financial Benchmarks

General

ROBO Global LLC (ROBO Global) is the benchmark administrator for the ROBO Global Robotics and Automation Index Series, as defined in the International Organisation of Securities Commissions (IOSCO) Principles for Financial Benchmarks.

ROBO Global is aware of the risks posed by inadequate governance, conflicts of interest and a lack of transparency in the management of indices, and has built its controls processes for the ROBO Global indices with these in mind, and with input from external index experts.

Proportionality and Extent of Compliance

ROBO Global devised the Rules for the Management of the ROBO Global Robotics and Automation Index Series. They are managed by its index management committee, one member of which is an external index expert. The committee can additionally call on expertise from an external advisory group in the field of robotics and automation. Index reviews and the calculation of the index series are carried out by an external index calculation agent, currently Solactive AG.

ROBO Global believes it is in broad compliance with the IOSCO Principles for Financial Benchmarks, given its understanding of the use of its indices and consideration of the nature of the investment products based upon them. It intends to further document, and if appropriate amend, its internal processes and governance in accordance with the requirements of Regulation (EU) 2016/1011 (commonly known as the “EU Benchmarks Regulation” or “BMR”), and intends to apply for registered benchmark administrator status under this regulation.

Further information

For further information in respect of the indices, please refer in the first instance to the Rules for the Management of the ROBO Global Robotics and Automation Index Series, available at www.roboglobal.com, or alternatively to ROBO Global via info@roboglobal.com

About us

In order to capture the growth potential of the robotic revolution, the opportunity must be defined from an investor’s perspective – ROBO Global sought out to do just that. As the creator of the first benchmark index to track the global robotics and automation market, ROBO Global brings these solutions to investors.

Through the expertise of its leadership team and strategic advisors, our team searches worldwide to find cutting-edge companies in the space. From healthcare to industrials to aerospace, these companies span across a multitude of industries. By identifying these prospects, we are able to track the global growth of the industry.

The index is comprised of over 80 stocks focused on the entire robotics and automation value chain. The stocks include rapidly developing companies in the global robotics and automation industry, covering over 15 countries across our 12 subsectors. With offices in Dallas and London, and indices listed on multiple exchanges, ROBO Global defines and delivers the only index to target robotics and automation.

Disclaimer

This document is accurate at the date of publication. ROBO Global may make changes to it and to the index series’ rules, in order to comply with changes in benchmark regulations. It applies both to existing ROBO Global indices and to new indices, which will be fully documented within the index rules.

Copyright © 2017 by ROBO Global, LLC. All rights reserved. ROBO Global® is a registered trademark of ROBO Global, LLC.

ROBO Global, LLC is referred to as “ROBO.”

Redistribution, reproduction and/or photocopying in whole or in part are prohibited without written permission. This document does not constitute an offer of services in jurisdictions where ROBO does not have the necessary licenses. All information provided by ROBO is impersonal and not tailored to the needs of any person, entity or group of persons.

The ROBO Global® Robotics and Automation Index and the ROBO Global® Robotics and Automation UCITS Index (the “Indices”) are the property of ROBO who have contracted with Solactive AG to calculate and maintain the Indices. The Indices are not sponsored by Solactive AG or its affiliates. Neither Solactive AG, nor any of their affiliates will be liable for any errors or omissions in calculating the Indices. Closing prices for the Indices are calculated by Solactive AG based on the closing price of the individual constituents of the index as set by their primary exchange. Historical performance illustrations in the Indices are based on a backcast calculation. A backcast calculation can be materially different from a backtest analysis.

Past performance of an index is not a guarantee of future results. The value of investments may go down as well as up and potential investors may not get back the amount originally invested. It is not possible to invest directly in an index. Exposure to an asset class represented by an index is available through investable instruments based on that index. ROBO makes no assurance that investment products based on the index will accurately track index performance or provide positive investment returns. A decision to invest in any such investment fund or other investment vehicle should not be made in reliance on any of the statements set forth in this document. ROBO is not in a position to give advice on the suitability of any investments for potential investors. Prospective investors are advised to make an investment in any such fund or other vehicle only after carefully considering the risks associated with investing in such funds, as detailed in an offering memorandum or similar document that is prepared by or on behalf of the issuer of the investment fund or other vehicle. Inclusion of a security within an index is not a recommendation by ROBO to buy, sell, or hold such security, nor is it considered to be investment advice.

It is not intended that anything stated in this factsheet should be construed as an offer or invitation to buy or sell any investment in any Investment Fund or other investment vehicle referred to in this website, or for potential investors to engage in any investment activity.

No Investment Fund or other investment vehicle based on the Indices is sponsored, promoted, sold or supported in any other manner by ROBO or Solactive AG (the “Index Parties”) nor do the Index Parties offer any express or implicit guarantee or assurance either with regard to the results of using the Indices and/or an Index trademark or an Index price at any time or in any other respect. The Index Parties use their best efforts to ensure that the Indices are calculated correctly. Irrespective of their obligations towards the Company, the Index Parties have no obligation to point out errors in the Indices to third parties including but not limited to investors in, and/or financial intermediaries of, any Investment Funds or other investment vehicles. Neither publication of the Indices by Solactive AG nor the licensing of the Indices or an Index trademark by ROBO for the purpose of use in connection with any Investment Fund or other investment vehicle based on the Indices constitutes a recommendation by the Index Parties to invest capital in any such fund or investment vehicle nor does it in any way represent an assurance or opinion of the Index Parties with regard to any investment in such fund or investment vehicle.

These materials have been prepared solely for informational purposes based upon information generally available to the public from sources believed to be reliable. No content contained in these materials (including index data, ratings, credit-related analyses and data, model, software or other application or output therefrom) or any part there of (Content) may be modified, reverse-engineered, reproduced or distributed in any form by any means, or stored in a database or retrieval system, without the prior written permission of ROBO. The Content shall not be used for any unlawful or unauthorized purposes. ROBO and its third-party data providers and licensors (collectively “ROBO Parties”) do not guarantee the accuracy, completeness, timeliness or availability of the Content. ROBO Parties are not responsible for any errors or omissions, regardless of the cause, for the results obtained from the use of the Content. The content is provided on an “as is” basis.

ROBO Parties disclaim any and all express or implied warranties, including, but not limited to, any warranties of merchantability or fitness for a particular purpose or use, freedom from bugs, software errors or defects, that the content’s functioning will be uninterrupted or that the content will operate with any software or hardware configuration. In no event shall ROBO Parties be liable to any party for any direct, indirect, incidental, exemplary, compensatory, punitive, special or consequential damages, costs, expenses, legal fees, or losses (including, without limitation, lost income or lost profits and opportunity costs) in connection with any use of the Content even if advised of the possibility of such damages. ROBO Parties and their respective employees, affiliates and partners hereby exclude, to the extent permitted by applicable law, all liability in connection with the use of this factsheet.

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