Standards
Supervision
FinSA Client information sheet
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 ROSERT Asset Management AG and its services.
A. Company information
Address
Street: Stockerstrasse 6
Zip Code/City: 8002 Zurich
Phone: +41 43 283 63 30
Email: office@rosert.ch
Website: www.rosert.ch
ROSERT Asset Management AG was established in 2020.
Supervisory authority and audit firm
Under the new Federal Act on Financial Institutions (FinIA), all financial institutions need a license from FINMA to carry out their professional activities as a portfolio manager. ROSERT Asset Management AG received its license on 06.05.2021 and is supervised by the supervisory organization AOOS Schweizerische Aktiengesellschaft für Aufsicht. ROSERT Asset Management AG is audited by the auditing company CAPREV Wirtschaftsprüfing und-beratung AG, both in terms of regulatory law and obligations. The address of the supervisory organization and the auditi company can be found below.
Supervisory organization:
AOOS Schweizerische Aktiengesellschaft für Aufsicht
Street: Clausiusstrasse 50
Zip Code / City: 8006 Zurich
Phone: +41 44 215 98 98
Email: ralph.frey@aoos.ch
Website: www.aoos.ch
Audit Firm Name: CAPREV Wirtschaftsprüfung und -beratung AG
Address: Industriestrasse 47
Zip Code / City: 6300 Zug
Phone: +41 41 761 92 45
Email: info@caprev.ch
Website: www.caprev.ch
Ombudsman
ROSERT Asset Management AG is affiliated with the independent ombudsman office Financial Services Ombudsman (FINSOM), which is recognized by the Federal Department of Finance. Disputes concerning legal claims between the client and the ROSERT Asset Management AG should be settled by an ombudsman’s office, if possible, within the framework of a mediation procedure. The address of office FINSOM is stated below.
Name Ombudsman: Financial Services Ombudsman (FINSOM)
Address: Avenue de la gare 66
Zip Code / City: 1920 Martigny
Phone: +41 27 552 04 24
Email: info@finsom.ch
Website: www.finsom.ch
B. Information on the offered financial services
ROSERT Asset Management AG provides portfolio management services and investment advisory services to its clients.
In the case of a transaction-based investment advisory mandate with ROSERT Asset Management AG, a personal recommendation relating to individual financial instruments is provided to the client. The decision to buy or sell remains always ultimately with the client.
ROSERT Asset Management AG does not guarantee any yield nor performance of investment activities. The investment activity can therefore lead to an appreciation or a depreciation in value.
ROSERT Asset Management AG has all the necessary licences to perform the services described above.
C. 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 ROSERT Asset Management AG. Subject to certain conditions, the client may change the client classification by opting out.
D. Appropriateness and suitability
When providing personal investment advice or portfolio management services financial service providers have to perform an appropriateness assessment of its services to a client and suitability check of the financial instruments offered to a client.
The extent of appropriateness and suitability checks depend on the type of the client segmentation, i.e. retail or professional client, and on the type of service provided.
For that purpose ROSERT Asset Management AG collects the information about knowledge and experience of a client in different investment instruments, as well as the personal needs and the investment goals of a client.
Where investment transactions are executed on an execution-only basis or where clients only receive factual information on financial instruments or general recommendations which don’t take into consideration their personal circumstances, these FinSA duties do not apply. The suitability checks are also not required in the case of institutional clients.
E. Information on risks and costs
General risks associated with financial instruments transactions
The investment advisory and portfolio management services involve financial risks. The ROSERT Asset Management AG shall provide all clients with the «Risks associated with Financial Instruments Transactions» brochure prior to the execution of the agreement. This brochure can also be found at www.swissbanking.ch.
Clients of ROSERT Asset Management AG may contact their client advisor 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 investment advisory or portfolio management agreements. In the case of unusual risk concentration in the client portfolio, the financial service provider shall disclose the nature and extent of such concentration risks separately. In the case of investment advice, the ROSERT Asset Management AG shall provide its retail clients with the basic information sheet of the recommended financial instrument.
F. 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 portfolio management agreements.
G. Information about relationships with third parties
In connection with the financial services offered by ROSERT Asset Management AG, economic ties may exist with third parties. This fact of economic ties as well the amount of expected renumeration shall be disclosed before providing the relevant financial services or before concluding the agreement. The acceptance of payments from third parties as well as their treatment are regulated in detail and comprehensively in the respective investment advisory and portfolio management agreements.
H. Information on the market offer considered
ROSERT Asset Management AG basically follows an «open universe approach» and tries to make the best possible choice for the client when selecting financial instruments.