Based on the legal requirements of Art. 8 et seq. of the Financial Services Act (FinSA), an overview of Swiss Capital Wealth Management AG (hereinafter the «Financial Institution») and its services provided below.

 

A.   Information about the company

 

Swiss Capital Wealth Management AG

Klausstrasse 4

8008 Zürich - Switzerland

 

Phone: +41 44 226 52 22 

Website: www.swisscap.com

 

Commercial register company number: CHE-108.738.593

VAT Nummer: CHE-108.738.593 MWST

LEI number: 529900QZ05BSL4MJA248

 

Supervisory authority and audit company

Founded in 1998, the financial institution is authorized by the Swiss Financial Market Supervisory Authority (FINMA) as an asset manager and holds the corresponding license. It is a financial institution affiliated with FINcontrol Suisse AG within the meaning of the Financial Institiutions Act (FinIA) and is therefore subject to ongoing supervision by FINcontrol Suisse AG. FINcontrol Suisse AG is a supervisory organization within the meaning of the Financial Market Supervision Act (FINMASA).

The financial institution is audited and reviewed by the audit company CAPREV Wirtschaftsprüfung und -beratung AG, both in terms of supervisory law and obligations. The address of FINcontrol Suisse AG and CAPREV Wirtschaftsprüfung und -beratung AG can be found below.

 

FINcontrol Suisse AG

General-Guisan-Strasse 6

6300 Zug - Switzerland

Phone: +41 41 767 36 00

Website: www.fincontrol.ch

 

CAPREV Wirtschaftsprüfung und -beratung AG

Industriestrasse 47

6300 Zug - Switzerland

Phone: +41 41 761 92 45

Website: www.caprev.ch

 

 

Ombudsman's office

The financial institution is affiliated with the independent ombudsman’s office «Ombudsman's Office for Financial Service Providers (OFD)», which is recognized by the Federal Department of Finance. Disputes concerning legal claims between clients and the financial institution shall be settled by the ombudsman's office as far as possible within the framework of a mediation procedure. The address of the ombudsman's office can be found below.

Ombudsman's Office for Financial Service Providers (OFD)

Bleicherweg 10

8002 Zurich - Switzerland

Phone: +41 44 562 05 25

Website: www.ofdl.ch

  

B.   Information on the financial services offered

The financial institution provides its clients with asset management services, portfolio and transaction-related investment advisory services and «execution-only» services. In the case of an investment advisory mandate with the financial institution, clients are given a personal recommendation relating to individual financial instruments. Ultimately, the decision to buy or sell always remains with the client.

The financial institution guarantees neither a return nor a success in the investment activity. The investment activity can therefore lead to an increase in value but also to a loss in value.

C.   Client segmentation

Financial service providers must assign their clients to a legally pre-defined client segment and comply with the corresponding conduct obligations. The Financial Services Act provides for the segments «private clients», «professional clients» and «institutional clients». A client classification is defined for each client as part of the cooperation with the financial institution. Subject to certain conditions, the client can change the client classification by opting in or opting out.

D.   Information about risks and costs

General risks in trading with financial instruments

Investment advisory and asset management services entail financial risks. The financial institution provides all clients with the brochure «Risks involved in trading financial instruments» before the contract is concluded. This can also be viewed at www.swissbanking.org.

If clients of the financial institution have any further questions, they can contact their client advisor at any time.

 

  

Risks in connection with the service offered

For a description of the various risks that may arise from the investment strategy for the client’s assets, please refer to the corresponding investment advisory or asset management agreements.

 

When providing investment advice, the financial institution provides its private clients with the basic information sheet of the recommended financial instrument.

 

  

Cost information

A fee is charged for the services provided, which is normally calculated on the assets under management and/or on a performance basis. For more detailed information, please refer to the relevant investment advisory and/or asset management agreements.

 

E.    Information about ties to third parties

Economic ties to third parties may exist in connection with the financial services offered by the financial institution. The acceptance of payments from third parties and their treatment are regulated in detail and comprehensively in the investment advisory or asset management agreements.

 

F.    Information on the market offer that is taken into account

The financial institution generally pursues a «best-in-class» approach, i.e. it attempts to make the best possible choice for the client when selecting financial instruments. The financial institution's own collective investments may - where appropriate - be used in the asset management mandates or recommended as part of investment advice.