Regulatory Information
FinSA Client Information
Based on the legal requirements of Art. 8 et seq. of the Financial Services Act (FinSA), the following provides an overview of Pilatus Partners Ltd (hereinafter the “Financial Institution”) and its services.
A. Information about the company
Address
Pilatus Partners AG
Papieri-Ring 6
CH – 6330 Cham
Phone: +41 41 784 18 90
E-mail: info@pilatuspartners.ch
Website: www.pilatuspartners.ch
The financial institution was founded in 2013.
Supervisory authority and audit company
The financial institution was licensed as a manager of collective assets from 2013 to 2024 and was subject to prudential supervision by the Swiss Financial Market Supervisory Authority FINMA. In 2024, the financial institution was granted a license as an asset manager and is supervised by the supervisory organization AOOS – Schweizerische Aktiengesellschaft für Aufsicht. The financial institution is audited by the auditing company ASMA Asset Management AG for both supervisory and regulatory purposes. The addresses of the supervisory organization and the audit company can be found below.
Supervisory organization: AOOS – Swiss Company Limited by Shares for Supervision
Clausiusstrasse 50
8006 Zurich
Telephone: + 41 44 215 98 98
E-mail: info@aoos.ch
Website: www.aoos.ch
Audit firm: ASMA Asset Management Audit & Compliance SA
Bändliweg 20
CH – 8048 Zurich
Phone: +41 44 503 53 40
E-mail: info@amaudit.ch
Website: www.amaudit.ch
Ombudsman’s office
The financial institution is affiliated to the independent ombudsman’s office FINOS, which is recognized by the Federal Department of Finance. Disputes concerning legal claims between clients and the financial institution should, where possible, be settled by the ombudsman’s office as part of a mediation procedure. The address of the FINOS ombudsman’s office can be found below.
Financial Ombudsman Service Switzerland FINOS
Talstrasse 20
8001 Zurich
Telephone: +41 44 552 08 00
E-mail: info@finos.ch
Website: www.finos.ch
B. Information on the financial services offered
The financial institution provides its clients with asset management services, portfolio-related and transaction-related investment advisory services and execution-only services.
In the case of an investment advisory mandate with the financial institution, clients are given a personal recommendation relating to individual financial instruments. Ultimately, the decision to buy or sell always remains with the client.
The financial institution guarantees neither a return nor success in the investment activity. The investment activity can therefore lead to an increase in value but also to a loss in value.
The financial institution also provides multi-family office services.
The financial institution has all the necessary authorizations to provide the services described above.
C. Client segmentation
Financial service providers must assign their clients to a legally defined client segment and comply with the corresponding conduct obligations. The Financial Services Act provides for the segments “private clients”, “professional clients” and “institutional clients”. A client classification is defined for each client as part of the cooperation with the financial institution. Subject to certain conditions, the client can change the client classification by opting in or opting out.
D. Information on risks and costs
General risks in trading with financial instruments
Investment advisory and asset management services as well as execution only entail financial risks. The financial institution provides all clients with the brochure “Risks involved in trading financial instruments” before the contract is concluded. This can also be viewed at www.swissbanking.org.
If clients of the financial institution have any further questions, they can contact their client advisor at any time.
Risks in connection with the service offered
For a description of the various risks to client assets that may arise from the services offered, please refer to the corresponding contracts for the Execution Only, Investment Advice and Asset Management services.
In the case of investment advice, the financial institution provides its private clients with the basic information sheet for the recommended financial instrument.
Cost information
A fee is charged for the services provided, which is normally calculated on a gross asset value and fee basis. For more detailed information, please refer to the corresponding contracts for execution only, investment advice or asset management.
E. Information on ties to third parties
Economic ties to third parties may exist in connection with the financial services offered by the financial institution. The acceptance of payments from third parties and their treatment are regulated in detail and comprehensively in the execution-only and investment advisory agreements.
F. Information on the market offer taken into account
The financial institution generally pursues an “open universe approach” and attempts to make the best possible choice for the client when selecting financial instruments.