Regulatory Framework
Regulatory Disclosures
The following disclosures are provided in accordance with applicable financial regulations across the jurisdictions in which SwissTrustOne operates. Clients are encouraged to read these disclosures carefully and consult with independent legal and financial advisors regarding their applicability to their specific circumstances.
Compliant
Compliant
Compliant
Compliant
Regulatory Authorization
SwissTrustOne operates under the regulatory oversight of the Swiss Financial Market Supervisory Authority (FINMA) and holds the requisite authorizations for the provision of asset management and financial advisory services. Our operations in the European Economic Area are conducted in compliance with the Markets in Financial Instruments Directive II (MiFID II) and applicable local transpositions. Clients in other jurisdictions are served through locally compliant structures and partnerships with regulated entities.
Investment Services Classification
SwissTrustOne provides discretionary and non-discretionary portfolio management, investment advisory services, and the distribution of structured financial products. Our services are available exclusively to professional clients and eligible counterparties as defined under MiFID II, and to qualified investors under Swiss financial market law. Retail clients are not eligible for our services. Client classification is determined at onboarding and reviewed annually or upon material change in client circumstances.
Conflicts of Interest
SwissTrustOne maintains a comprehensive Conflicts of Interest Policy to identify, manage, and disclose conflicts that may arise in the provision of services. Material conflicts include: proprietary positions in instruments recommended to clients; fee arrangements with third-party product providers; and cross-departmental information barriers. Where conflicts cannot be adequately managed, we will disclose them to affected clients prior to providing the relevant service. A summary of our Conflicts of Interest Policy is available upon request.
Best Execution Policy
We are committed to achieving the best possible result for clients when executing orders or transmitting orders to third-party execution venues. Our Best Execution Policy considers price, costs, speed, likelihood of execution, size, nature, and any other relevant consideration. We review our execution arrangements annually and following any material change in market structure. Clients may request information about our execution venues and a summary of our Best Execution Policy at any time.
Client Asset Protection
Client assets held through SwissTrustOne are maintained in segregated accounts with regulated custodians, separate from our own proprietary assets. This segregation ensures that client assets are protected in the event of SwissTrustOne's insolvency. Custodians are selected based on their regulatory standing, financial strength, and operational capabilities. We conduct annual due diligence reviews of all custodial relationships. Clients receive regular statements confirming the status of their held assets.
Complaints Procedure
Clients who wish to make a formal complaint may do so by contacting our Client Relations team at complaints@swisstrustonegroup.com. We acknowledge all complaints within 5 business days and aim to provide a final response within 30 business days. Where a complaint cannot be resolved to your satisfaction, you may escalate to the Swiss Banking Ombudsman or the relevant financial services ombudsman in your jurisdiction. A summary of our complaints handling procedure is available upon request.
Tax Reporting Obligations
SwissTrustOne complies with the Common Reporting Standard (CRS) and the Foreign Account Tax Compliance Act (FATCA). We collect tax residency information from all clients and report relevant financial account information to the Swiss Federal Tax Administration for automatic exchange with partner jurisdictions. Clients are responsible for their own tax compliance and are advised to consult qualified tax advisors regarding the tax treatment of their investments. We do not provide tax advice.
Regulatory Correspondence
For regulatory inquiries or to request copies of our regulatory documentation, contact regulatory@swisstrustonegroup.com or write to SwissTrustOne Regulatory Affairs, Bahnhofstrasse 21, 8001 Zürich, Switzerland.