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 Alpen Partners International AG (hereinafter referred to as the «financial institution») and its services.

Company information

Address

Alpen Partners International AG
Seestrasse 69
8806 Baech SZ
Switzerland

+ 41 58 105 75 00
info@alpeninternational.com
www.alpeninternational.com

The financial institution was established in 2017.

Supervisory authority and audit firm

At present, the financial institution is supervised by the self-regulatory organization AOOS – Schweizerische Aktiengesellschaft für Aufsicht. With the new Financial Institutions Act (FinIA), all financial institutions will in the future need a license from FINMA to carry out their professional activities as a portfolio manager according to FinIA Art. 17. The deadline for submitting the application was the end of 2022. The financial institution submitted the application to the competent licensing authorities for authorization as a portfolio manager in July 2022. The future authorization status can be found on the homepage.

The financial institution is audited and reviewed by the auditing company AML Revisions AG both in terms of supervisory law and in terms of obligations. The address of the AOOS – Schweizerische Aktiengesellschaft für Aufsicht and ALM Revisions AG can be found below.

AOOS – Schweizerische Aktiengesellschaft für Aufsicht
Clausiusstrasse 50
8006 Zürich
Switzerland

+41 44 215 98 98
info@aoos.ch
www.aoos.ch

AML Revisions AG
Hohlstrasse 560
8048 Zürich
Switzerland

+41 44 533 82 00
zuerich@aml-revision.ch
www.aml-revision.ch

Ombudsman

The financial institution is affiliated with the independent ombudsman OFS (Ombud Finance Switzerland), which is recognized by the Federal Department of Finance. Disputes concerning legal claims between the client 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 the ombudsman’s office is stated below.

OFS Ombud Finance Switzerland
16 Boulevard des Tranchées
1206 Geneva
Switzerland

+41 22 808 04 51
contact@ombudfinance.ch
www.ombudfinance.ch

Information on the offered financial services

The financial institution provides investment advisory and portfolio management services.

In the case of a transaction-based investment advisory mandate with the financial institution, a recommendation relating to individual financial instruments is provided to the client. The decision to buy or sell remains always ultimately with the client.

The financial institution does not guarantee any yield nor performance of investment activities. The investment activity can therefore lead to an appreciation or a depreciation in value.

Client segmentation

Financial service providers are required to classify their clients into a client segmentation according to the law and adhere to the respective code-of-conduct. The Financial Services Act provides for «retail clients», «professional clients» and «institutional clients» segments. For each client, a client classification is determined within the framework of the cooperation with the financial institution. Subject to certain conditions, the client may change the client classification by opting out. The financial institution does not serve retail clients, only professional and institutional clients.

Information on risks and costs

General risks associated with financial instruments transactions

The investment advisory and portfolio management services involve financial risks. The brochure «Risks associated with Financial Instruments Transactions» can be found at www.swissbanking.org.

Clients of the financial institution may contact their relationship manager at any time if they have any further questions.

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 Non-Discretionary Investment Advisory Agreement or Discretionary Asset Management Agreement.

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 Non-Discretionary Investment Advisory Agreement or Discretionary Asset Management Agreement.

Information about relationships with third parties

In connection with the financial services offered by the financial institution, economic ties may exist with third parties. The acceptance of payments from third parties as well as their treatment are regulated in detail and comprehensively in the respective Non-Discretionary Investment Advisory Agreement or Discretionary Asset Management Agreement.

Information on the market offer considered

The financial institution basically follows an «open universe approach» and tries to make the best possible choice for the client when selecting financial instruments.

One of the affiliated entities has its own products (AMCs) which may be used in the discretionary mandates.

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