FIDLEG customer information
Based on the legal requirements of Art. 8 et seq. of the Financial Services Act (FIDLEG), an overview of Gamma Financials AG (hereinafter the “Financial Institution”) and its services is given below.
A. Information about the company
Address
Gamma Financials AG
Bahnhofplatz
6300 Zug
Telephone: +41 41 728 04 45
Email: info@gammafinacials.ch
Web page: www.gammafinancials.ch
The financial institution was founded in 2015.
Supervisory authority and audit firm
The financial institution has been licensed as manager of collective assets since 2016 and is therefore subject to prudential supervision by the Swiss Financial Market Supervisory Authority FINMA. As part of this supervision, the financial institution is audited and audited annually by the audit firm SWA Swiss Auditors AG, both under regulatory and bond law. The addresses of FINMA and the audit firm SWA can be found below.
Swiss Financial Market Supervisory Authority FINMA
Laupenstrasse 27
3003 Bern
Telephone: +41 31 327 91 00
Email: info@finma.ch
Web page: www.finma.ch
Company name Audit company: SWA Swiss Auditors AG
Address: Bahnhofstraße 3
ZIP code/City: 8808 Pfäffikon
Telephone: + 41 55 415 54 70
Web page: www.swa-audit.ch
Ombudsman's Office
The financial institution is affiliated with the independent Swiss Financial Ombudsman Office (FINOS) recognized by the Federal Department of Finance. Where possible, disputes over legal claims between customers and the financial institution should be settled by the ombudsman as part of a conciliation procedure. The address of the Swiss Financial Ombudsman Office (FINOS) can be found below.
Swiss Financial Ombudsman Office (FINOS)
Talstraße 20
8001 Zurich
Telephone: +41 44 552 08 00
Email: info@finos.ch
Site: www.finos.ch
B. Information about the financial services offered
The financial institution provides portfolio management services for collective investment schemes and offers these collective investment schemes to suitable investors in Switzerland, with the decision to buy or sell ultimately always remaining with the investor.
The financial institution also provides services related to structured products and consulting services for Actively Managed Certificates (AMC).
The financial institution does not guarantee a return or success in the course of the activities performed. These can therefore lead to an increase in value but also to a loss in value.
The financial institution has all necessary permits to perform the services provided above.
C. Customer segmentation
Financial service providers must assign their customers to a legally specified customer segment. The Financial Services Act provides for the segments “private clients”, “professional clients” and “institutional clients.” As part of cooperation with the financial institution, a customer classification is defined for each client. If certain requirements are met, the customer can change the customer classification by means of a so-called opting-in or opting-out.
D. Information about risks and costs
General risks associated with trading financial instruments
Investment advisory and asset management services involve financial risks. The financial institution works with institutional clients. There are no specific information requirements vis-à-vis them. Any other customers can find out more about the “Risks in Trading Financial Instruments” brochure before concluding a contract. This can also be found on the website of the Swiss Bankers Association (www.swissbanking.ch/en/downloads) can be viewed free of charge.
Customers can contact the financial institution at any time if they have any further questions.
Risks associated with the service offered
For a description of the various risks that may arise from an investment fund's investment strategy, reference is made to the relevant documents (prospectus, key information document, etc.).
Cost information
A fee is charged for the services provided, which is normally calculated on the assets under management and/or on performance. For more detailed information, reference is made to the relevant contracts and documents (prospectus, key information document, etc.).
E. Information about ties to third parties
There may be economic ties to third parties in connection with the financial services offered by the financial institution. The receipt of payments from third parties and their treatment are regulated in detail and comprehensively in the corresponding contracts with customers.
F. Information about the market offer considered
The financial institution generally follows an “open universe approach” and tries to make the best possible choice for investment funds and their investors when selecting financial instruments.