with Laura Oberbörsch (Product Specialist Multi Asset) and Stephan Fritz (Portfolio Director Multi Asset)
Information regarding use and limited distribution
The information on this website is intended exclusively for qualified investors resident or domiciled in Switzerland. It is not intended for publication, use, or distribution to or by any person in a country other than Switzerland. In particular, this information is not intended for distribution within the United States of America (USA), to or on behalf of US citizens, or to or on behalf of US persons residing in the USA.
The information about investment funds on the following pages may also relate to foreign investment funds that may be distributed in Switzerland or from Switzerland to qualified investors only. The Swiss financial market supervisory authority FINMA does not permit distribution to non-qualified investors.
Qualified investors as qualified investors within the meaning of Article 10 of the Swiss Federal Collective Investment Schemes Act of 23 June 2006 (“CISA”) are essentially the following:
1. regulated financial intermediaries such as banks, securities traders, fund management companies and asset managers of collective investment schemes as well as central banks;
2. regulated insurance institutions;
3. public entities and pension schemes with professional treasury departments;
4. companies with professional treasury departments;
5. investors who have concluded a written discretionary management agreement with a regulated financial intermediary pursuant to section 1 whom they have not notified in writing that they do not wish to be considered as a qualified investor (no “opting out”);
6. Investors who have concluded a written discretionary management agreement with an independent asset manager whom they have not notified in writing that they do not wish to be considered as a qualified investor (no “opting out”) and provided (i) the independent asset manager in its capacity as financial intermediary is governed by Swiss Federal Law against money laundering and the financing of terrorism of 10 October 1997, (ii) the independent asset manager is governed by the code of conduct issued by a specific industry body, such code of conduct being recognised as the minimum standard by FINMA, and (iii) the discretionary management agreement complies with the standards of a specific industry body, such standards being recognised as the minimum standard by FINMA; or
7. high-net-worth individuals who have confirmed in writing to a financial intermediary pursuant to section 1, or to an independent asset manager that meets the requirements described in section 6, that they wish to be considered as a qualified investor (“opting-in”) and that they (a) have the knowledge required to understand the risks of the investments based on their individual education and professional experience or based on comparable experience in the financial sector and hold assets of at least CHF 500,000, or (b) hold assets of at least CHF 5 million.
If you are an independent asset manager who fulfils the requirements of Article 6 above, you hereby certify that you will use the information on this website that refers to investment funds not approved by FINMA exclusively for those of your clients that are considered as qualified investors.
The content provided is for informational purposes only and does not constitute an offer or recommendation.