Regulatory information
The Swiss Financial Services Act (FinSA or FIDLEG) has come into effect as of 1 January 2020 pursuant to the new law the following information is to be provided to clients.
Name and address of your financial service provider
Capeo Wealth AG
Holbeinstrasse 31, 8008 Zurich, Switzerland
Field of activity
Asset Management and Wealth Management
Supervisory organisation
AOOS directly mandated by FINMA.
License issued by FINMA (Swiss Financial Market Supervisory Market Authority).
FINMA www.finma.ch/en/
Possibility of initiating mediation proceedings before an Ombudsman's office
Possibility of Initiating Mediation Proceedings before an Ombudsman’s Office
Capeo is affiliated with Ombudsstelle für Finanzdienstleister (OFD), Bleicherweg 10, 8002 Zurich, Switzerland
www.ofdl.ch/en
The ombuds office for financial service providers is neutral, provides information and acts as an independent mediator in disputes.
About Capeo Wealth, AG VQF, SRO
Capeo Wealth AG is a registered Swiss financial entity and recorded in the official Swiss corporate directory. Furthermore, Capeo Wealth AG is an SRO member (self-regulatory and industry organisation for independent asset managers, membership no. 100399) of the VQF Financial Services Standards Association (Verein zur Qualitätssicherung von Finanzdienstleistungen, hereafter referred to as “VQF“). The VQF is the leading Swiss financial supervisory system officially recognised by Swiss federal law as of October 1997.
The SRO is registered as a private entity according to civil law and is registered in the canton of Zug and bears full official recognition by the federal Swiss financial authorities (FINMA) as SRO. The SRO employs supervision of its members as mandated by Swiss law. The charter of the GwG (For further information please visit the FINMA website) manifests that the financial intermediaries involved in their own mutual interest, shall be able to organise in a way that enforces the rules and responsibilities within their operations according to the GwG and its constant supervision. Any violation of existing standards may be recorded and penalised by the SRO. Members of the SRO VQF have the professional supervisory authority to enforce the terms of compliance and better business standards.
In the financial sector, the SRO is the leading and largest regulatory body and enforces its standards rigorously. That includes standard audits according to Swiss financial regulation and law. The SRO is officially recognised, regulated and supervised by FINMA. For further information please visit the VQF website at www.vqf.ch/en or the FINMA website at www.finma.ch/en/