Client Information FINSA
Supplementary client information on the Swiss Financial Service Act FINSA
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.