Regulatory Information

Company Information

The following information is provided pursuant to Art. 8 FinSA regarding the identity and contact details of Asset Street SA.

Regulatory Status & Authorisation

Asset Street SA is authorised and licensed as an independent portfolio manager (asset manager of individual client portfolios) pursuant to Art. 17 para. 1 of the Financial Institutions Act (FinIA). The licence was granted by the Swiss Financial Market Supervisory Authority (FINMA).

In accordance with FinIA, Asset Street SA is subject to ongoing prudential supervision by an authorised supervisory organisation (SO).

Financial Services Provided

Pursuant to Art. 8 para. 2 let. b FinSA, Asset Street SA provides the following financial services:

• Discretionary Asset Management: Asset Street SA manages individual client portfolios on a discretionary basis within agreed investment guidelines. Clients grant Asset Street SA the authority to make investment decisions on their behalf.

Asset Street SA does not hold client assets directly. All client assets are held in custody with regulated third-party custodian banks and brokers selected in consultation with each client.

Client Classification

In accordance with Art. 4 FinSA, Asset Street SA classifies its clients as follows:

• Retail Clients: Private individuals who do not meet the criteria for professional or institutional classification. Retail clients benefit from the highest level of regulatory protection under FinSA.
• Professional Clients: Clients who, based on their financial situation, investment experience, and knowledge, are presumed to have the necessary expertise to make their own investment decisions. This includes regulated financial intermediaries, public entities, occupational pension schemes, and high-net-worth private individuals who declare their professional client status in writing.
• Institutional Clients: Regulated financial intermediaries and insurance companies, central banks, national and supranational public entities, and other institutional investors.

Conflicts of Interest

Asset Street SA has adopted a Conflicts of Interest Policy in accordance with Art. 25 FinSA to identify, manage, and disclose actual or potential conflicts of interest that may arise in the course of providing financial services.

Asset Street SA may receive compensation from third parties, including retrocessions, trailer fees, or other inducements from custodian banks, product providers, or other financial intermediaries in connection with services provided to clients. In accordance with Art. 26 FinSA, Asset Street SA will:

• Disclose the existence and nature of any such third-party compensation to clients prior to the provision of services;
• Provide clients with the right to waive their entitlement to such payments in writing; and
• Disclose the maximum amount of compensation that may be received, or where this is not possible, the basis for its calculation.

Clients who have not waived their entitlement are entitled to request information regarding the actual amounts received by Asset Street SA from third parties.

Best Execution

Asset Street SA does not directly execute client orders. All transactions are executed through regulated custodian banks and brokers. Asset Street SA has adopted an Order Execution Policy in accordance with Art. 17 FinSA to ensure that orders are transmitted to custodians in a manner designed to achieve the best possible result for clients, taking into account price, costs, speed, likelihood of execution and settlement, and other relevant factors.

Clients may request a copy of Asset Street SA's Order Execution Policy at any time by contacting info@assetstreet.ch.

Custody & Banking Relationships

Client assets are held exclusively with regulated third-party custodian banks and brokers. Asset Street SA does not hold client assets on its own balance sheet. Clients select their preferred custodian in consultation with Asset Street SA. Current banking and brokerage relationships include:

• Edmond de Rothschild (Suisse) SA, Geneva
• Banque Heritage SA, Geneva
• St.Galler Kantonalbank AG, St. Gallen
• Syz Group (Banque Syz SA), Geneva
• MCB (Mauritius Commercial Bank), Mauritius
• Swissquote Bank SA, Gland
• Interactive Brokers LLC

This list is subject to change. Clients will be informed of any material changes to custodian relationships that affect their account.

Professional Indemnity Insurance

In accordance with Art. 19 FinIA and the requirements of SO-FIT, Asset Street SA maintains professional indemnity insurance or equivalent financial collateral sufficient to cover potential liability risks arising from its activities as a licensed portfolio manager. Details of the insurance coverage are available upon written request.

Anti-Money Laundering & KYC

Asset Street SA is subject to the Swiss Federal Act on Combating Money Laundering and Terrorist Financing (Anti-Money Laundering Act, AMLA). As a financial intermediary, Asset Street SA is required to:

• Verify the identity of clients and beneficial owners prior to establishing a business relationship;
• Clarify the background and purpose of transactions that appear unusual or present elevated risk;
• Maintain records of all due diligence documentation for a minimum of ten years; and
• Report any suspicions of money laundering or terrorist financing to the Money Laundering Reporting Office Switzerland (MROS).

Ombudsman & Dispute Resolution

In accordance with Art. 74 FinSA, Asset Street SA is affiliated with the Swiss Arbitration Centre (Ombuds-FIN), a recognised ombudsman for financial services providers and their clients. Clients who have an unresolved complaint may submit a mediation request to the Swiss Arbitration Centre free of charge:

Before contacting the Swiss Arbitration Centre, clients are requested to first submit a written complaint to Asset Street SA at info@assetstreet.ch. Asset Street SA will acknowledge receipt within five business days and endeavour to resolve the matter within thirty calendar days.

Data Protection

Asset Street SA processes personal data in accordance with the Swiss Federal Act on Data Protection (nFADP / revDSG), which came into force on 1 September 2023. Personal data is collected and processed solely for the purposes of providing financial services, fulfilling regulatory obligations, and maintaining the client relationship.

Clients have the right to access, rectify, and request the deletion of their personal data, subject to applicable retention requirements. For data protection enquiries, please contact info@assetstreet.ch.

Further information is available in our Privacy Policy.

Contact & Regulatory Enquiries

For any regulatory or compliance enquiries, or to request copies of any of the policies referenced on this page, please contact Asset Street SA directly: