Information on Amicum Capital AG

 

The following information serves to fulfill the information obligations of financial service providers towards their customers in accordance with Art. 8 f. of the Financial Services Act (“FinSA“). The information is provided neither for advertising purposes nor does it constitute an offer for financial services or financial instruments.

1.       Approval status

  1. Amicum Capital AG (the “Company“) is a financial service provider within the meaning of FinSA with its registered office at Brandschenkestrasse 2, 8001 Zurich.
  2. The Company is mainly active in the areas of professional asset management and investment advice for individual clients.
  3. [►Before FINMA License approval: The company is affiliated with the self-regulatory organization VQF Association for Quality Assurance of Financial Services within the meaning of the Anti-Money Laundering Act.
  4. In accordance with the requirements of the Financial Institutions Act (“FinIA“), the Company applies for admission to the supervisory organization FINcontrol Suisse AG and for a license from the Swiss Financial Market Supervisory Authority FINMA as an asset manager in accordance with Art. 17 Para. 1 FinIA◄]
  5. [►After FINMA License approval: The Company is supervised by FINcontrol Suisse AG as an asset manager in accordance with Art. 17 Para. 1 FinIA.
  6. The licensing authority is the Swiss Financial Market Supervisory Authority FINMA ◄]

2.         Ombudsman’s office

In accordance with Art. 74 et seq. FinSA the Company is affiliated with the Ombudsman association Finanzombudsstelle Schweiz (FINOS), Talstrasse 20, CH-8001 Zurich. In case of disputes with the Company, private clients within the meaning of Art. 4 Para. 2 FinSA and professional clients within the meaning of Art. 5 Para. 1 FinSA can initiate mediation proceedings through such ombudsman’s office.

3.         Management

The Company has three qualified managing directors within the meaning of Art. 20 Para. 1 FinIA.

4.         Business activity of the Company

The business activities of the Company include, in particular, the following areas:
  • Asset management for individual clients within the meaning of Art. 3 lit. c no. 3 FinSA;
  • Portfolio-related investment advice with power of attorney within the meaning of Art. 3 lit. c no. 3 FinSA;
  • Transaction-related investment advice within the meaning of Art. 3 lit. c no. 4 FinSA;
  • Portfolio-related investment advice with regard to Actively Managed Certificates (“AMC“) within the meaning of Art. 3 lit. c no. 4 FinSA;
  • Acceptance and transmission of orders relating to financial instruments within the meaning of Art. 3 lit. c no.2 FinSA;
  • Offering AMCs managed by the company within the meaning of Art. 19 (3) lit. c FinIA.
  • The company provides its financial and investment advisory services based on written contracts concluded with the clients, which contain all information on the characteristics, functioning, rights and obligations of the parties and on the risks of the financial service provided

The Company may also provide ancillary services such as portfolio consolidation or monitoring, corporate and individual location and domiciliation, and general wealth, estate and financial planning

5.         Risks related to financial services

The risks associated with the financial services provided are explained to the clients before the contract is concluded. Clients are requested to carefully read the information provided, in particular the brochure “Risks Involved in Trading Financial Instruments” published by the Swiss Bankers Association (https://www.swissbanking.ch/de/downloads), and to contact the Company if they have any questions.

6.         Cost information

There are costs and fees incurred in connection with the services provided by the Company. These are disclosed to the clients prior to conclusion of the contract and regulated in detail in the contracts.

7.         Participation in and economic links with third parties

There are no economic ties between the Company and third parties that could lead to a conflict of interest towards clients in connection with the provision of financial services

8.         Considered market offer

When providing asset management services, the Company mainly considers financial instruments from third parties, but may also use the AMC it manages in the discretionary asset management mandates. The Company informs the clients about this circumstance.

9.         Maintaining contact

The company and its customers are obliged to remain in contact with each other and to inform each other immediately of any changes in their contact details.

10.       Dealing with conflicts of interest

The company takes the necessary precautions to avoid conflicts of interest between itself or its employees and its clients and to protect clients from disadvantages. If a conflict of interest cannot be avoided, it is disclosed to the clients.

 

******