INFORMATION OBLIGATIONS ACCORDING TO THE FINANCIAL SERVICES ACT (FINSA)
Based on Art. 8 FinSA, we are pleased to inform you as follows:
a) Name and address of the financial service provider
The financial services provided to you, if applicable, are provided by:
Alpina Capital AG
Schochenmühlestrasse 6
6340 Baar
b) Field of activity and supervisory status
Alpina Capital AG aims to provide services in the financial sector. The business area may include in particular:
a) investment advice
b) asset management
c) management of collective assets
d) development of financial products
e) provision of supporting services in general financial and asset advisory.
The provision of individual asset management includes asset management for institutional clients, professional clients, and private clients domiciled mainly in Switzerland and Germany, in accordance with FinSA (Art. 6 Para. 3 in conjunction with Art. 17 Para. 1 FinSO), as well as the provision of investment advisory services for institutional clients, professional clients, and private clients within the meaning of FinSA, including Swiss and any type of foreign collective investment schemes (Art. 3 lit. c. No. 4 FinSA).
Alpina Capital AG has the necessary authorizations from the Swiss Financial Market Supervisory Authority FINMA (www.finma.ch) to provide these financial services.
c) Option to initiate mediation procedures before a recognized ombudsman
Alpina Capital AG is affiliated with the following ombudsman:
Financial Ombudsman Switzerland (FINOS)
Talstrasse 20
8001 Zurich
As a client of a financial service of Alpina Capital AG, you have the opportunity to initiate proceedings before the ombudsman in case of disputes, which handles them in an uncomplicated, fair, rapid, impartial, and cost-effective or free manner for you.
d) General risks associated with financial instruments
Financial instruments are always associated with risks that can affect you positively or negatively. We kindly ask you to consult the publication "Risks in Trading Financial Instruments" by the Swiss Bankers Association (www.swissbanking.ch), which is available free of charge on the internet and from your customer advisor.
If you have any questions, please contact your customer advisor.
e) Personally recommended financial service and associated risks and costs
In the event of a contract concluded with Alpina Capital AG, Alpina Capital AG has the right and obligation to select investments for you within the agreed framework and to invest your assets in them. Alpina Capital AG is free in its investment decisions within the framework of the concluded contract. These investments can lead to an increase in value, but also to a loss.
Alpina Capital AG does not guarantee any return or success of investment activity.
In connection with provided financial services, costs and fees may be charged by Alpina Capital AG as well as by third parties. These costs and fees are invoiced to the customer after conclusion of the contract or with the purchase of an investment product. Questions regarding costs and fees will be answered free of charge.
f) Economic ties to third parties associated with the offered financial service
In the provision of the offered financial services, Alpina Capital AG is independent. It informs its clients that Alpina Fund Management S.A., acting as a fund management company, is a subsidiary of it in Luxembourg. There may be a risk for clients that Alpina Capital AG prefers financial instruments of the subsidiary in asset management and advisory. However, Alpina Capital AG ensures a balanced selection of financial products based on understandable objective criteria.
The customer is aware of and accepts that Alpina Capital AG, in the course of its asset management activities or in connection with the execution of orders, receives or could receive services (e.g. retrocessions, kick-backs, finder's fees, asset maintenance commissions, etc.) from third parties (banks, fund companies, issuers, etc.). These third-party services may vary depending on the investment product or provider.
Furthermore, Alpina Capital AG takes the necessary precautions to avoid conflicts of interest in connection with its business activities and to protect its clients from disadvantages. If a conflict of interest cannot be avoided, this conflict will be disclosed to the client, and the corresponding measures will only be taken with the client's consent.
g) Considered market offer
Alpina Capital AG offers financial instruments and solutions in the provision of financial services that are developed, managed, or controlled by Alpina Capital AG or third parties.
Alpina Capital AG offers financial services and instruments that may have a connection to Alpina Fund Management S.A. in Luxembourg.
Effective from 01.01.2023
Alpina Capital AG
CONTACT INFORMATION
Alpina Capital AG
Schochenmühlestrasse 6
6340 Baar
info@alpina.capital