Legal

INFORMATION ON THE FINANCIAL SERVICES ACT

The Financial Services Act (FinSA) came into force on 1 January 2020. Its purpose is to strengthen investor protection and establish comparable standards for financial services providers. FinSA requires compliance with certain rules of conduct, including the duty to inform. In this respect, in accordance with the obligations introduced under Articles 8 and following of FinSA, Alpha Global Wealth SA (“AGW”) informs the Client of the following:

Name, address, and contact details of AGW

  • Alpha Global Wealth SA
  • Chemin du Pavillon 5
  • 1218 Le Grand-Saconnex, Geneva
  • Switzerland
  • T : +41 22 710 02 30
  • Email : admin@alphaglobalwealth.com
  • Website: https://alphaglobalwealth.com

Contact details of the supervisory organisation

AGW is regulated in Switzerland by the “Association Romande des Intermédiaires Financiers” (ARIF)

  • Rue de Rive 8
  • 1204 Geneva
  • Switzerland
  • T : +41 22 310 07 35
  • Email : info@arif.ch

Activity and supervisory regime

AGW is an untied ‘Insurance Intermediary’ as defined under Article 17 para 1 of the Financial Institutions Act (FinIA). As such, AGW is subject to supervision by a supervisory organisation and must be authorised by the Swiss Financial Market Supervisory Authority (FINMA).

Contact details of the FINMA

  • Swiss Financial Market Supervisory Authority (FINMA)
  • Laupenstrasse 27
  • 3003 Bern
  • Switzerland
  • T : +41 31 327 91 00
  • F : +41 31 327 91 01
  • Email : info@finma.ch

Client segmentation

According to FinSA, a financial service provider is required to categorise each of its clients as a retail client, a professional client, or an institutional client. The level of protection of each client and the extent of the financial service provider’s obligations depends on this categorisation but also on the type of financial service offered. Thus, while the rules of conduct defined under FinSA are fully applicable to a retail client and offers him/her a high level of protection, they apply less intensively to a professional client and does not apply to transactions involving an institutional client. Moreover, certain products may be reserved to professional and institutional clients. If certain conditions are met, FinSA also allows a client to request a change of client category to benefit from a more or less intensive protection (“opting-in/out regime”). Pursuant to the possibility offered under FinSA, AGW has decided to refrain from client segmentation and to treat all its clients as retail clients, offering them the highest level of protection. The clients understand and accept that this may prevent them to access financial instruments dedicated to professional clients.

Information on risks

Investing in financial instruments involves risks. These risks are explained in the brochure « Risks Involved in Trading Financial Instruments » published by the Swiss Bankers Association (Swissbanking) that the Client has received. This brochure can also be downloaded on the Swissbanking website via the following link: https://www.swissbanking.ch

Pricing information

AGW’s fees are included in the mandate concluded with the Client.

Conflicts of Interest

AGW commits to avoid any situation giving rise to a conflict of interest which may harm the Client’s interests. Should a conflict nevertheless arise, AGW will immediately inform the Client about it.

Mediation proceedings

Mediation proceedings may be initiated at any time with the Ombudsman’s office to which AGW is affiliated, OMBUDSSTELLE FINANZDIENSTLEISTER (OFD) – The Swiss Financial Ombudsman.

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  • Alpha Global Wealth SA
  • Chemin du Pavillon 5
  • Le Grand-Saconnex
  • 1218 Geneva
  • Switzerland
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