Client information in accordance with the Swiss Financial Services Act (FINSA)
Sound Capital AG («Sound Capital») is a leading independent asset manager with offices in Zurich and as per 01.01.2022 in Basel.
T: +41 44 206 25 25
Basel (as per 01.01.2022)
T: +41 61 425 90 80
This client information may change from time to time. The latest version can be found here client information FINSA.
Please do not hesitate to contact our relationship managers if you have any questions or require further information.
1. Field of activity
The activities covered by FINSA include in particular asset management and various advisory services (e.g. investment advice, execution only, investment controlling).
2. Supervisory status, competent authority and supervisory organisation
Sound Capital is subject to authorisation by the Swiss Financial Market Supervisory Authority FINMA, Laupenstrasse 27, CH-3003 Bern, pursuant to Article 5 paragraph 1 of the Financial Institutions Act (FINIA). Sound Capital is currently regulated by the SRO of the supervisory organisation AOOS – Swiss limited corporation for supervision, Clausiusstrasse 50, CH-8006 Zurich.
The client’s satisfaction with our services is our main concern. Should Sound Capital have concluded to reject a claim made by the client, the client may initiate a mediation proceeding through the ombudsman’s office. This service is in principle free of charge. The ombudsman will try to reach an agreement between the parties in a neutral and independent manner. For this purpose, the client may contact:
OFS Ombud Finance Switzerland
10 rue du Conseil-Général
T: +41 22 808 04 51
4. Conflicts of interest
Sound Capital takes care to prevent conflicts of interest as far as possible or otherwise to disclose them. This goal shall be achieved through appropriate internal directives and organisational measures (e.g. rules for employee transactions, compliance with market conduct rules).
5. Scope of market offering
Within the scope of the financial services, Sound Capital provides clients with a comprehensive market offering and considers all types of financial instruments from a wide range of providers / issuers. For further information on the market offering, please contact our relationship managers. All services as well as the associated costs and risks are described in detail in the respective service agreement with its appendices.
6. Risk information
For information on risks generally associated with financial instruments, please refer to the brochure “Risks Involved in Trading Financial Instruments” published by the Swiss Bankers Association and made available on the Internet as follows: Link.
If you have any questions, need additional information or wish to receive a printed copy of the brochure, please contact our relationship managers.
7. Client classification
FINSA defines the following classes for clients of financial service providers: «private clients», «professional clients» and «institutional clients». Each category is assigned a different level of investor protection (e.g. with regard to information duties, suitability and appropriateness obligations, and documentation and accountability duties).
Sound Capital will treat clients as private clients unless clients are informed otherwise. Insofar as the client is not already classified by law as a professional client («per-se professional client») the wealthy private client is entitled to request in writing from Sound Capital at any time to change the client category to a professional client («opting-out»). Our relationship managers will inform you about the necessary FINSA requirements.