FinSA Client information
Based on the legal requirements of Art. 8 ff. of the Financial Services Act, we would like to supply you with this information sheet which provides an overview of Gamma Financials AG (hereinafter referred to as the «Financial Institution») and its services.
A. Company information
Address:
Gamma Financials AG
Bahnhofplatz
6300 Zug
Phone: +41 41 728 04 45
Email: info@gammafinacials.ch
Website: www.gammafinancials.ch
The Financial Institution was established in 2015.
Supervisory Authority and Audit Firm
The financial institution has been licensed as a manager of collective investment schemes since and is therefore subject to prudential supervision by the Swiss Financial Market Supervisory Authority FINMA. Within the scope of this supervision, the financial institution is audited and reviewed annually by the audit firm SWA Swiss Auditors AG, both in terms of supervisory law and obligations. The address of FINMA and SWA Swiss Auditors AG can be found below.
Eidgenössische Finanzmarktaufsicht FINMA
Laupenstrasse 27
3003 Bern
Phone: +41 31 327 91 00
Email: info@finma.ch
Website: www.finma.ch
SWA Swiss Auditors AG
Bahnhofstrasse 3
8808 Pfäffikon
Phone: +41 55 415 54 70
Email: info@swa-audit.ch
Website: www.swa-audit.ch
Ombudsman
The financial institution is affiliated with the independent ombudsman Finanzombudsstelle Schweiz (FINOS), 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 FINOS is stated below.
Finanzombudsstelle Schweiz (FINOS)
Talstrasse 20
8001 Zürich
Telefon: +41 44 552 08 00
Email: info@finos.ch
Website: www.finos.ch
B. Information on the offered financial services
The financial institution provides portfolio management services for collective investment schemes and offers these collective investment schemes to suitable investors in Switzerland, whereby the decision to buy or sell always ultimately remains with the investor.
Furthermore, the financial institution provides services in connection with structured products as well as advisory services for Actively Managed Certificates (AMC).
The financial institution does not guarantee any yield nor performance of its services. The services 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 asset management and investment advisory services involve financial risks. The financial institution works with institutional clients. There are no specific information obligations towards them. Any other clients can inform themselves about the brochure "Risks associated with financial instruments" prior to the execution of a contract. This brochure can be found at www.swissbanking.org.
Clients can contact the financial institution 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 of a collective investment scheme, please refer to the relevant documents (prospectus, basic information sheet etc.).
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 agreements as well as to the relevant documents (prospectus, basic information sheet etc.).
E. Information about relationships with Third Parties
In connection with the financial services offered by the financial institution, commercial relationships with third parties may exist. The acceptance of payments from third parties and their treatment are detailed governed in the respective agreements with the clients.
F. 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 collective investment schemes respectively their investors when selecting financial instruments.