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 sheet which provides an overview of Mont Blanc Capital Management AG (hereinafter referred to as the «financial institution») and its services.
1. Company information
Address
Waldmannstrasse 8
CH - 8001 Zürich
+41 44 258 80 80
info@montblanccapital.swiss
www.montblanccapital.swiss
The financial institution was established in 2005.
Supervisory authority and audit firm
The financial institution has been licensed as a manager of collective assets since 2005 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 by the Audit Firm Grant Thornton AG both in terms of regulatory law and obligations. The address of FINMA and the Audit Firm Grant Thornton AG can be found below.
Eidgenössische Finanzmarktaufsicht FINMA
Laupenstrasse 27
CH – 3003 Bern
+41 31 327 91 00
info@finma.ch
www.finma.ch
Grant Thornton AG
Claridenstrasse 35
CH – 8027 Zürich
+41 43 960 71 71
info@ch.gt.com
www.grantthornton.ch
Ombudsman
The financial institution is affiliated with the independent ombudsman Ombudsstelle Finanzdienstleister (OFD), 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 address of Ombudsstelle Finanzdienstleister (OFD) is stated below.
Ombudsstelle Finanzdienstleister (OFD)
Bleicherweg 10
CH – 8002 Zürich
+41 44 562 05 25
ombudsmann@ofdl.ch
www.ofdl.ch
2. Information on the offered financial services
The financial institution provides portfolio management services, portfolio-based and transaction-based investment advisory services as well as execution-only 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 also provides financial services in collective investment schemes. For further information on the various collective investment schemes, the general risks, specifications, and operating procedures, please refer to the relevant prospectuses and factsheets.
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.
3. 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.
4. Information on risks and costs
General risks associated with financial instruments transactions
The investment advisory and portfolio management services involve financial risks. The financial institution shall provide all clients with the «Risks associated with Financial Instruments Transactions» brochure prior to the execution of the contract. This brochure can also be found at www.swissbanking.org.
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.
In the case of investment advice, the financial institution shall provide its retail clients with the basic information sheet of the recommended financial instrument.
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.
5. Information about relationships with third parties
In connection with the financial services offered by the financial institution, economic ties may exist with third parties. The acceptance of payments from third parties as well as their treatment are regulated in detail and comprehensively in the respective investment advisory and asset management contracts.
6. 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 client when selecting financial instruments. The financial institution's own collective investments can – where appropriate – be used in the asset management mandates or recommended as part of investment advice.