This brochure contains essential information about the Swiss Financial Services Act (FINSA),

which came into force on January 1, 2020. The FINSA aims to provide greater protection for

investors and create comparable standards for financial service providers. The transition period

is a maximum of two years, which means that the FINSA requirements must be fully

implemented by the end of 2021. This brochure also includes information on the implementation

of the new regulatory standards that apply to clients of Alphen Asset Management AG. This is

general information such as regulatory supervisory status, considered investment universe,

suitability and appropriateness of chosen investment strategy, client classification, best

execution principles, conflicts of interest, compensation, general risks and complaint handling.

Please do not hesitate to contact us for further information or if you have any questions. It should

be noted that this brochure is provided for informational and regulatory purposes only and should

not be considered marketing material. It does not constitute a solicitation or offer for financial

services or a recommendation to buy or sell any financial instrument.

Please click on the below link to view the entire brochure.