Regulatory Information

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 brochure which provides an overview of Rubellius Capital AG (hereinafter referred to as the «financial institution») and its services.

 

A. Company information

Rubellius Capital AG, established in 2012, is a joint stock corporation incorporated and existing under the laws of Switzerland, having its registered office at Bahnhofplatz 1, 8001 Zurich, Switzerland.

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. Rubellius Capital AG is licensed as a portfolio manager by the Swiss Financial Market Supervisory Authority (FINMA) and is supervised by the supervisory organization FINcontrol Suisse AG. The financial institution is audited by CAPREV Wirtschaftsprüfung und -beratung AG in terms of regulatory law.

Ombudsman

Rubellius Capital AG is affiliated with the independent ombudsman Finanzombudsstelle Schweiz (FINOS), 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 contact details of Finanzombudsstelle Schweiz (FINOS) are stated below:

Name Ombudsman: Finanzombudsstelle Schweiz (FINOS)
Address: Talstrasse 20
Zip Code / City: 8001 Zurich
Phone: +41 44 552 08 00
Email: info@finos.ch
Website: https://www.finos.ch


B. Information on the offered financial services

Rubellius Capital AG acts as a portfolio manager to collective investment schemes. For further information on the various collective investment schemes, the general risks, specifications, and operating procedures, please refer to the relevant offering memorandum and factsheets.

The financial institution also provides portfolio-based investment advisory services to its clients. In the case of a transaction-based investment advisory mandate with the financial institution, 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.

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.

Rubellius Capital 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 financial institution. Subject to certain conditions, the client may change the client classification by opting out.

Based on this segmentation, the corresponding level of regulatory protection will vary:

  • retail clients are granted the highest level of regulatory protection.
  • professional clients are deemed to have the necessary knowledge and experience to invest in all asset classes and to be financially able to bear the investment risks associated with the financial service.
  • institutional clients are granted the lowest level of regulatory protection. The financial institution is neither bound to the duty to provide information, duty to review, duty to document, rendering of account nor transparency and conduct rules.

Please note that we do not service retail clients currently.

 

D. Information on risks and costs

General risks associated with financial instruments transactions

Trading in financial instruments such as collective investment schemes involve financial risks. These risks can vary significantly depending on the financial instrument. The various types of financial instruments and the associated risks are described in the brochure «Risks associated with Financial Instruments Transactions» published by the Swiss Bankers Association, available at www.swissbanking.ch.

Clients of the financial institution 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.

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.

 

E. Conflict of interest

In connection with the financial services offered by the financial institution, economic ties may exist with third parties. Rubellius Capital AG adheres to the strictest ethical standards and has taken organisational measures to prevent situations of conflict arising between its (including our employees) and the client’s interests. If Rubellius Capital AG identifies a conflict of interest that cannot be resolved, it will notify the client of the nature and source of this conflict, the risk associated with it, and the measures taken to mitigate it, so that the client can take an informed decision.

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