FINMA License Status: Authorized
License: CH-CIS-2019-456 | Type: Collective Investment Schemes Manager
Authorized & Regulated
Total AUM
CHF 905M
3 funds managed
Capital Ratio
350%
of minimum requirement
Compliance Rate
100%
52/52 requirements
Distribution Markets
5
countries authorized
FINMA License & Authorization Details
License Information
License Number:CH-CIS-2019-456
License Type:Collective Investment Schemes Manager
Supervisory Category:Category 3 - Fund Management Company
Issue Date:May 1, 2019
Legal Form:Limited Company (AG)
Status:
Authorized
Capital Position
Share Capital:CHF 1.0M
Additional Capital:CHF 2.5M
Total Capital:CHF 3.5M
Minimum Required:CHF 1.0M
Surplus:CHF 2.5M
Capital Ratio:
350%
CISA Regulatory Compliance Framework
| Requirement | Regulation | Description | Controls | Implemented | Status |
|---|---|---|---|---|---|
Authorization & Organization | CISA Art. 13-14 | Licensing requirements and organizational structure | 8 | 8 | Compliant |
Prudential Supervision | CISA Art. 14-15 | Capital requirements and financial stability | 9 | 9 | Compliant |
Conduct Rules | CISA Art. 16-20 | Duty of care, conflict of interest, proper business conduct | 12 | 12 | Compliant |
Custody & Depositary | CISA Art. 72-74 | Depositary bank appointment and asset safekeeping | 7 | 7 | Compliant |
Valuation & Accounting | CISA Art. 83-85 | Net asset value calculation and financial reporting | 6 | 6 | Compliant |
Distribution | CISA Art. 118-120 | Cross-border distribution and marketing requirements | 10 | 10 | Compliant |
| Total | 52 | 52 | 100% |
Annual Reporting to FINMA
| Period | Report Type | Auditor | Due Date | Filed Date | Status |
|---|---|---|---|---|---|
| FY 2024 | Annual Audited Financial Statements | PricewaterhouseCoopers AG | June 30, 2025 | June 25, 2025 | Filed |
| FY 2024 | Annual Report to FINMA | PricewaterhouseCoopers AG | June 30, 2025 | June 26, 2025 | Filed |
| FY 2023 | Annual Audited Financial Statements | PricewaterhouseCoopers AG | June 30, 2024 | June 22, 2024 | Filed |
Collective Investment Schemes Under Management
| Fund Name | Type | Domicile | AUM | Depositary Bank | Distribution |
|---|---|---|---|---|---|
| Swiss Equities SICAV | UCITS | Switzerland | CHF 425M | UBS Switzerland AG | CH, DE, AT, LU |
| Global Bond Fund | Non-UCITS | Switzerland | CHF 285M | Credit Suisse (Schweiz) AG | CH, LI |
| Alternative Strategies Fund | QIF | Switzerland | CHF 195M | UBS Switzerland AG | CH |
| Total | CHF 905M |
Depositary Banks
UBS Switzerland AG
2 Funds
Location: Zurich, Switzerland | Assets Held: CHF 620M | Since: May 2019
Credit Suisse (Schweiz) AG
1 Funds
Location: Zurich, Switzerland | Assets Held: CHF 285M | Since: May 2019
Cross-Border Distribution
Switzerland
3 fund(s) distributed
Home Country
Germany
1 fund(s) distributed
Notified
Austria
1 fund(s) distributed
Notified
Luxembourg
1 fund(s) distributed
Notified
Liechtenstein
1 fund(s) distributed
Notified
Audit & FINMA Regulatory Requirements
Audit Information
Audit Firm:PricewaterhouseCoopers AG
Last Audit:June 2025
Audit Opinion:
Unqualified
Supervisory Compliance:
No Material Findings
FINMA Oversight
Last Inspection:April 2024
Funds Supervised:3
Distribution Markets:5
Compliance Status:
Compliant
CISA Regulatory Requirements
Fund management companies must comply with the Federal Act on Collective Investment Schemes (CISA). This includes authorization from FINMA, appointment of depositary banks, annual audited financial statements, adherence to prudential requirements, and compliance with cross-border distribution rules.
Annual Reporting Obligations
Annual audited financial statements and supervisory reports must be submitted to FINMA within 6 months of the fiscal year end. The supervisory audit assesses compliance with CISA, CISO, and FINMA circulars.
Key CISA Obligations
- • FINMA authorization and ongoing supervision
- • Appointment of depositary bank(s)
- • Annual audited financial statements
- • Minimum capital requirements (CHF 1M)
- • Compliance with conduct rules
- • Cross-border notification requirements
Distribution Rules
- • Swiss domiciled funds may be distributed in CH
- • Cross-border distribution requires notification
- • EEA distribution under passport regime
- • Prospectus and documentation requirements
- • Investor protection and disclosure rules
- • Marketing and advertising compliance