Supervisory authority and ombuds office

Supervisory authority
for Chameleon Asset Management AG

Pursuant to the Federal Act on Financial Institutions, we are authorized and supervised by the Swiss Financial Market Financial Supervisory Authority FINMA in our work as managers of collective assets.

Swiss Financial Market Supervisory Authority FINMA
Laupenstrasse 27
CH-3003 Bern
+41 31 327 91 00
info@finma.ch
www.finma.ch

Ombuds office

Chameleon Asset Management AG is associated with the independent ombuds office FINOS, which is recognized by the Swiss Financial Department. In the event of disputes about legal claims between our clients and Chameleon Asset Management AG, our clients may contact that ombuds office at any time. Information about any administrative costs in connection with conciliation proceedings can be found on the ombuds office’s website.

Swiss Financial Ombuds Office (FINOS)
Talstrasse 20
CH-8001 Zürich
+41 44 552 08 00
info@finos.ch
www.finos.ch

FinSA customer information

On the basis of the legal provisions from Art. 8 et seq. of the Financial Services Act (FinSA), an overview is provided below of chameleon asset management ag (hereinafter the “financial institution”) as well as its services.

A. Information about the company

Address of the financial institute

Chameleon Asset Management AG
Theaterstrasse 4
CH-4051 Basel
+41 61 633 77 77
info@chameleon-asset.ch
www.chameleon-asset.ch

The financial institute was founded in 2007.

Supervisory authority and auditing firm

The financial institution has since 2020 been authorized to manage collective assets and is therefore subject to prudential supervision by the Swiss Financial Market Supervisory Authority FINMA. As part of this supervision, the financial institution is audited and reviewed by the PwC auditing firm every year with respect to both the Code of Obligations and regulatory law. The addresses of FINMA and of the PwC auditing firm are given below:

FINMA
Swiss Financial Market Supervisory Authority FINMA
Laupenstrasse 27
CH-3003 Bern
+41 31 327 91 00
info@finma.ch
www.finma.ch

Auditing firm
PricewaterhouseCoopers AG
St. Jakobs-Strasse 25 | Postfach
CH-4002 Basel
www.pwc.ch

Ombuds office

The financial institution is associated with the Swiss Financial Ombuds Office (FINOS), which is an independent ombuds office recognized by the Swiss Financial Department. Disputes about legal claims between clients and the financial institute shall, if possible, be settled by the ombuds office using conciliation proceedings. The address of the Swiss Financial Ombuds Office (FINOS) is given below:

Swiss Financial Ombuds Office (FINOS)
Beyzade Han
Talstrasse 20
CH-8001 Zurich
+41 44 552 08 00
info@finos.ch
www.finos.ch

B. Information about financial services offered

The financial institution provides asset management services and transaction-related investment advising services for its clients. When providing transaction-based investment advising, the financial institution provides clients with a personalized recommendation based on particular financial instruments. However, the decision to buy or sell ultimately rests with the client.

The financial institution also provides financial services in the area of collective capital investments. For information on the various collective capital investments, general risks, characteristics and functionalities, please refer to the appropriate brochures and fact sheets on this website.
The financial institution does not guarantee any yield or performance of investment activities. The investment activity can therefore lead to an appreciation in value as well as to a depreciation in value.
The financial institution has all licenses necessary to perform the above services.

C. Customer segmentation

Financial services providers must categorize their clients into a statutorily stipulated client segment. The Financial Services Act provides for the following segments: “retail customers,” “professional customers” and “institutional customers.” For each client, a customer classification is determined within the framework of the cooperation with the financial institution. Subject to certain conditions, the client may change the customer classification by opting in or opting out.

D. Information on risks and costs

General risks in trade with financial instruments

Investment advising and asset management services involve financial risks. The financial institution provides all clients with a brochure entitled “Risks in Trade with Financial Instruments” prior to conclusion of the contract. It can also be viewed at www.swissbanking.org.
Clients of the financial institution may contact their client adviser at any time if they have any further questions.

Risks in connection with the service offered

Please refer to the relevant investment-advising or wealth-management contracts for a description of the various risks for the client’s assets that can arise from the investment strategy.
As part of the investment advising, the financial institution makes the basic information sheet on the recommended financial instrument available to its private clients.

Information on costs

A fee is charged for the services rendered, which is usually calculated on the assets under management and/or on a performance basis. For more detailed information, please refer to the relevant investment-advising or asset-management agreements.

E. Information about relationships with third parties

In connection with the financial services offered by the financial institution, commercial relationships with third parties may exist. The acceptance of payments from third parties and their treatment are detailed and comprehensively governed in the respective investment-advising or asset-management agreements.

F. Information on the market offer under consideration

The financial institution as a rule follows an “open universe approach” and tries to make the best possible choice for the client when selecting financial instruments. The financial institution’s own collective capital investments can, when appropriate, be used in asset management or recommended as part of investment advising.