Regulatory Information & Complaints

1. Company information

Rubicon Asset Management SA, Rue du Général-Dufour 15, P. O. Box 5050, 1204 Geneva, Switzerland. Telephone +41 22 808 09 30. Fax +41 22 808 09 29. Website: rubicon-am.com.

2. Regulatory status

Rubicon Asset Management SA is authorised by the Swiss Financial Market Supervisory Authority FINMA as a portfolio manager within the meaning of the Swiss Financial Institutions Act (FinIA). Rubicon is subject to ongoing supervision by AOOS – Schweizerische Aktiengesellschaft für Aufsicht, a supervisory organisation authorised and supervised by FINMA.

Supervisory organisation (SO): AOOS (Schweizerische Aktiengesellschaft für Aufsicht). Auditor: Moore Stephens Refidar SA (Geneva). Ombudsman: OFS Ombud Finanzen Schweiz.

3. Financial services offered

Rubicon provides discretionary portfolio management, investment advice and related services in the areas of asset management, private equity, wealth planning and real estate. Rubicon does not guarantee any investment performance.

4. Client segmentation

In accordance with FinSA, clients are classified as retail, professional or institutional clients, each benefiting from a corresponding level of protection. Reclassification may be possible under certain conditions and on request.

5. Risks and costs

Investing in financial instruments involves risks, including the possible loss of the amount invested. General information on these risks is set out in the Swiss Bankers Association brochure “Risks Involved in Trading Financial Instruments”. The fees applicable to our services are based on assets under management and/or performance and are set out in the relevant client agreements.

6. Relationships with third parties

Rubicon takes appropriate organisational measures to identify, prevent and manage conflicts of interest. Where conflicts of interest cannot be avoided, Rubicon discloses them appropriately. Any third-party benefits are disclosed and handled in accordance with the applicable client agreements and legal requirements.

7. Complaints procedure

We take every complaint seriously and aim to handle it promptly, clearly and transparently. You may submit a complaint by post to the Compliance Officer at the address in section 1, by telephone on +41 22 808 09 30, or by email via our contact page.

If a complaint cannot be resolved to your satisfaction, you may refer the matter to our ombudsman OFS Ombud Finanzen Schweiz. Mediation through the ombudsman is free of charge or low-cost for clients.

Ombudsman contact: OFS, 16 Boulevard des Tranchées, 1206 Geneva, Switzerland. Telephone +41 22 808 04 51. https://ombudfinance.ch/contact/