facebook twitter instagram linkedin google youtube vimeo tumblr yelp rss email podcast phone blog search brokercheck brokercheck Play Pause

compliance

Regulation

Custodian Bank Safety

The custodian banks carry all accounts in the name of their clients. Securities are traded and held in the bank’s name but for client accounts, segregated from the bank’s own assets. Through the Deposit Protection Scheme, in the event that a bank or securities dealer is declared bankrupt, deposits of up to CHF 100’000 / EUR 100’000 per client enjoy the privileged treatment.

Unlike cash deposits, assets lodged for safekeeping (such as stocks, bonds or physical precious metals) are client property, and in the event of the bankruptcy of a bank or securities dealer are immediately ring-fenced and released to clients separately from the bankruptcy proceedings. They, therefore, do not form part of the bankruptcy estate at any time.

Ombudsman

We are a member of Ombud Finance Switzerland, so in the event of any disagreement, you have the possibility of initiating a mediation procedure with the ombudsman's office. You can reach them by phone (+41 22 808 04 51) or over their website (https://ombudfinance.ch).

Swiss Compliance

We are a member of the Swiss Association of Asset Managers (SAAM) / Verband Schweizerischer Vermögensverwalter (VSV).

US Compliance

We are registered with the Securities and Exchange Commission of the United States of America. You can find our ADV 2a here and our ADV 3 here.