FinSA Client Information

Zug, January 2024

Dear Sir / Madam,

Based on the legal requirements of Art. 8 et seq. of the Financial Services Act (FinSA), we provide below an overview of Commodity Capital AG (hereinafter the "Financial Institution") and its services.

Should you require further information or wish to schedule a personal meeting, please do not hesitate to contact us.

Yours sincerely,

Commodity Capital AG

1. Information about the Company

Address

Name: Commodity Capital AG 

Street: Industriestrasse 47  

Zip Code / Place: 6300 Zug 

Phone: +41 44 586 29 92 

E-Mail: info@commodity-capital.com

Website: www.commodity-capital.com

 The financial institution was founded in 2009. 

Regulatory Authority and Audit Firm 

The financial institution has been licensed as a manager of collective assets since 2024 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 annually by the auditing company SWA Swiss Auditors AG (SWA), both in terms of supervisory law and obligations.  

The addresses of FINMA and the audit firm SWA can be found below. 

Name of supervisory authority: Swiss Financial Market Supervisory Authority FINMA 

Street: Laupenstrasse 27 

PLZ/ Place: 3003 Bern 

Phone: +41 31 327 91 00 

E-Mail: info@finma.ch 

Website: www.finma.ch 

Name of audit firm: SWA Swiss Auditors AG 

Address: Bahnhofstrasse 3 

Postal code / City: P.O. Box 347, CH-8808 Pfäffikon Sz 

Phone: +41 55 415 54 70 

Website: www.swa-audit.ch

Ombudsman's office 

The financial institution is affiliated to the independent Swiss Financial Ombudsman Service (FINOS), which is recognized by the Federal Department of Finance. Disputes concerning legal claims between customers and the financial institution should, if possible, be settled through mediation by the ombudsman's office. The address of the Swiss Financial Ombudsman's Office (FINOS) can be found below. 

 

Name of ombudsman's office: Financial Ombudsman Service Switzerland (FINOS), 

Address: Talstrasse 20 

PLZ / Place: 8001 Zurich 

Phone: +41 44 552 08 00 

E-Mail: info@finos.ch 

Website: www.finos.ch 

2. Information on the Financial Services Offered

The financial institution provides asset management services for its clients in the area of collective investment schemes.

For information on the various collective investment schemes, the general risks, characteristics and modes of operation, please refer to the corresponding prospectuses and factsheets on this website. For collective investment schemes authorized in Switzerland, all information can also be obtained free of charge from the representative office.

The financial institution guarantees neither a return nor success in the investment activity. The investment activity can therefore lead to an increase in value but also to a loss in value.

The financial institution has all the necessary authorizations to provide the services listed above.

3. Customer Segmentation

Financial service providers must assign their customers to a legally defined customer segment.   

The Financial Services Act provides for the segments "private clients", "professional clients" and "institutional clients".  

A customer classification is defined for each customer as part of the cooperation with the financial institution.  

Subject to certain conditions, the customer can change the customer classification by opting in or opting out. 

4. Information on Risks and Costs

General risks in trading with financial instruments 

Asset management services entail financial risks.  

The financial institution shall provide all clients with the brochure "Risks Involved in Trading Financial Instruments" before concluding a contract.  

This brochure can also be viewed at www.swissbanking.org. 

Customers can contact the financial institution at any time if they have any further questions. 

Risks in connection with the service offered 

Please refer to the relevant asset management contracts, fund prospectuses, factsheets and KIDs for a description of the various risks that may arise from the investment strategy for the client's assets. 

Cost information 

A fee is charged for the services provided, which is normally calculated on the assets under management and/or on a performance basis.

For more detailed information, please refer to the relevant asset management agreements, fund prospectuses and factsheets. We will of course also be happy to provide you with information in person at any time. 

5. Information about Third-Party Affiliations

In connection with the financial services offered by the financial institution, there may be economic ties to third parties.

The acceptance of payments from third parties and their handling are detailed and comprehensively regulated in the asset management contracts, fund prospectuses, and the internal directives of the company. In principle, the financial institution adheres to the approach of not accepting payments from third parties.

The company itself is an independent entity. 

6. Information about the Market Offer Considered

The financial institution generally pursues an "open universe approach" and attempts to make the best possible choice for the client when selecting financial instruments. 

The financial institution bases its selection on the specifications of the asset management contracts or the fund prospectuses.