{"id":2203,"date":"2020-09-29T15:50:19","date_gmt":"2020-09-29T13:50:19","guid":{"rendered":"https:\/\/www.pilatuspartners.ch\/?page_id=2203"},"modified":"2025-09-09T14:58:49","modified_gmt":"2025-09-09T12:58:49","slug":"regulatory-information","status":"publish","type":"page","link":"https:\/\/www.pilatuspartners.ch\/en\/regulatory-information\/","title":{"rendered":"Regulatory Information"},"content":{"rendered":"

FinSA Client information<\/span><\/p>\n

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 Pilatus Partners AG (hereinafter referred to as the \u00abfinancial institution\u00bb) and its services.<\/span><\/p>\n

A. Company information<\/b><\/p>\n

Address<\/b><\/p>\n

Pilatus Partners AG<\/span>
\n<\/span>Papieri-Ring 6<\/span>
\n<\/span>CH \u2013 6330 Cham<\/span>
\n<\/span>Phone: +41 41 784 18 90<\/span>
\n<\/span>E-Mail: info@pilatuspartners.ch<\/span>
\n<\/span>Website: www.pilatuspartners.ch<\/span><\/p>\n

The financial institution was established in 2013.<\/span><\/p>\n

Supervisory authority and audit firm<\/b><\/p>\n

Das Finanzinstitut hat von 2013 \u2013 2025 die Bewilligung als Verwalter von Kollektivverm\u00f6gen besessen und der prudenziellen Aufsicht durch die Eidgen\u00f6ssische Finanzmarktaufsicht FINMA unterstanden. 2025 hat das Finanzinstitut die Bewilligung als Verm\u00f6gensverwalter erhalten und wird von der Aufsichtsorganisation AOOS \u2013 Schweizerische Aktiengesellschaft f\u00fcr Aufsicht beaufsichtigt. Das Finanzinstitut wird durch die Pr\u00fcfgesellschaft ASMA Asset Management AG sowohl aufsichtsrechtlich als auch obligationsrechtlich gepr\u00fcft. Die Anschrift der Aufsichtsorganisation und der Pr\u00fcfgesellschaft finden sich nachfolgend.\u00a0<\/span><\/p>\n

The financial institution held a license as a manager of collective assets from 2013 to 2025 and was subject to prudential supervision by the Swiss Financial Market Supervisory Authority FINMA. In 2025, the financial institution received approval as an asset manager and is supervised by the supervisory organization AOOS \u2013 Swiss Supervisory Corporation. The financial institution is audited by the auditing company ASMA Asset Management AG in accordance with both supervisory and contractual requirements. The addresses of the supervisory organization and the auditing company are listed below.<\/span><\/p>\n

Supervisory Organization: AOOS \u2013Swiss Supervisory Corporation<\/span><\/p>\n

Clausiusstrasse 50<\/span>
\n<\/span>8006 Zurich<\/span>
\n<\/span>Phone: + 41 44 215 98 98<\/span>
\n<\/span>E-Mail: info@aoos.ch<\/span>
\n<\/span>Website: www.aoos.ch<\/span><\/p>\n

Audit firm: ASMA Asset Management Audit & Compliance SA<\/span><\/p>\n

B\u00e4ndliweg 20<\/span>
\n<\/span>CH \u2013 8048 Zurich<\/span>
\n<\/span>Phone: +41 44 503 53 40<\/span>
\n<\/span>E-Mail: info@amaudit.ch<\/span>
\n<\/span>Website: www.amaudit.ch<\/span><\/p>\n

Ombudsman<\/b><\/p>\n

The financial institution is affiliated with the independent ombudsman office 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 address of office FINOS is stated below.<\/span><\/p>\n

FINOS \u2013 Swiss Ombudsman service\u00a0<\/span><\/p>\n

Talstrasse 20<\/span>
\n<\/span>8001 Zurich<\/span>
\n<\/span>Phone: +41 44 552 08 00<\/span>
\n<\/span>E-Mail: info@finos.ch<\/span>
\n<\/span>Website: www.finos.ch<\/span><\/p>\n

B. Information on the offered financial services<\/b><\/p>\n

The financial institution provides portfolio management services, portfolio-based and transaction-based investment advisory services as well as execution-only services (execution business) to its clients.\u00a0<\/span><\/p>\n

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.<\/span><\/p>\n

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.<\/span><\/p>\n

The financial institution also provides services in the area of multi-family offices.<\/span><\/p>\n

The financial institution has all the necessary licences to perform the services described above.<\/span><\/p>\n

C. Client segmentation<\/b><\/p>\n

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 \u00abretail clients\u00bb, \u00abprofessional clients\u00bb and \u00abinstitutional clients\u00bb 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.<\/span><\/p>\n

D. Information on risks and costs<\/b><\/p>\n

General risks associated with financial instruments transactions<\/b><\/p>\n

The investment advisory and portfolio management services involve financial risks. The financial institution shall provide all clients with the \u00abRisks associated with Financial Instruments Transactions\u00bb brochure prior to the execution of the contract. This brochure can also be found at <\/span>www.swissbanking.ch<\/span><\/a>.<\/span><\/p>\n

Clients of the financial institution may contact their client advisor at any time if they have any further questions.<\/span><\/p>\n

Risks associated with the offered services<\/b><\/p>\n

For a description of the various risks that may arise from the investment strategy for clients\u2019 assets, please refer to the relevant investment advisory or portfolio management agreements as well as execution-only services.<\/span><\/p>\n

If unusual concentrations of risk within the client portfolio cannot be ruled out, the nature and extent of such concentration risks shall be disclosed to the client. Indicators of such unusual concentrations of risk are:<\/span><\/p>\n