FINSA Client information
Based on the legal requirements of Art. 8ff. of the Financial Services Act (FINSA), we would like to supply you with this information sheet which provides an overview of capQon AG (hereinafter referred to as the «financial institution») and its services.
Address
Supervisory authority and audit firm
The financial institution is licensed as an asset manager by the Swiss Financial Market Supervisory Authority FINMA.
The financial institution is regulatory audited and reviewed by the auditing company Grant Thornton AG. The address of the supervisory body AOOS and Grant Thornton AG can be found below.
Name supervisory body: AOOS – Schweizerische Aktiengesellschaft für Aufsicht
Name supervisory body: AOOS – Schweizerische Aktiengesellschaft für Aufsicht
Street: Clausisstrasse 50
Zip code/city: CH-8006 Zurich
Phone: +41 44 215 98 98
E-Mail: info@aoos.ch
Website: aoos.ch
Name audit company: Grant Thornton AG
Street: Claridenstrasse 35
Zip code/city: CH-8002 Zurich
Phone: +41 43 960 71 71
E-Mail: info@ch.gt.com
Website: grant-thornton.ch
Ombudsman’s Office
The financial institution is affiliated with the independent ombudsman office OFD, which is recognized by the Federal Department of Finance. Disputes concerning legal claims between the customer and the financial services provider should be settled by an ombudsman’s office, if possible, within the framework of a mediation procedure. The address of OFD is stated below.
Name ombudsman’s office: Verein Ombudsstelle Finanzdienstleister (OFD)
Street: Bleicherweg 10
Zip code/city: CH-8002 Zurich
Phone: +41 44 562 05 25
E-Mail: ombudsmann@ofdl.ch
Website: ofdl.ch
B. Information on the offered financial services
The financial institution provides asset management services and investment advisory services to its clients.
The financial institution does not guarantee any yield nor performance of investment activities. The investment activity can therefore lead to an appreciation in value and to a depreciation in value.
The financial institution has the necessary licenses to perform the above services.
C. Client segmentation
Financial service providers are required to classify their customers into a client segmentation as legally established. The Financial Services Act provides for «retail customers», «professional customers» and «institutional customers» segments. For each customer, a customer classification is determined within the framework of the cooperation with the financial institution. Subject to certain conditions, the customer may change the customer classification by opting in or opting out.
D. Information on risks and costs
General risks associated with financial instruments transactions
The investment advisory and asset management services involve financial risks. The financial institution shall provide all clients with the «Risks associated with Financial Instruments Transactions» brochure prior to the execution of the contract. This brochure can also be found at www.swissbanking.org.
Risks associated with the offered services
For a description of the various risks that may arise from the investment strategy for clients’ assets, please refer to the relevant Investment advisory or asset management agreements.
Information on costs
A fee is charged for the services rendered, which is usually calculated on the assets under management and/or on a performance basis. For more detailed information, please refer to the relevant Investment advisory or asset management agreements.
E. Information about relationships with third parties
The financial institution refrains from accepting payments from third parties when providing investment advisory and asset management services.
F. Information on the market offer considered
The financial institution has an open architecture and does not have its own investment products.