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Regulatory Information about Alpha Associates

Regulatory Information about Alpha Associates

Business Activity

Alpha Associates Ltd (“Alpha Associates” or the “Company“) is a financial services provider within the meaning of the Financial Services Act FinSA, established in 2004 and headquartered in Zurich.

The main purpose of Alpha Associates is to provide investment advisory and asset management services to foreign collective investment schemes and to individual investors. For further information on Alpha Associates business activities please refer to “Investment Programs”.

Regulatory Status

Alpha Associates is an asset manager of collective investments within the meaning of art. 24 para. 2 of the Financial Institutions Act FinIA.

Alpha Associates is prudentially supervised by:

Swiss Financial Market Supervisory Authority FINMA

Laupenstrasse 27
3003 Bern
Switzerland
www.finma.ch

Ombudsman’s Office

As a financial service provider Alpha Associates is a member of the following Ombudsman’s Office:

Verein Ombudsstelle Finanzdienstleister (OFD)

Bleicherweg 10
8002 Zürich
www.ofdl.ch

An Ombudsman’s Office’s goal is to settle disputes regarding legal claims between certain clients and Alpha Associates in a mediation proceeding (art. 74 FinSA).

Risks related to the Financial Products and Services

The risks associated with financial products offered by Alpha Associates are described in the respective product documentation made available to the clients prior to an offering. The risks associated with financial services provided by Alpha Associates are explained to the clients in the respective agreements. The Clients are requested to read the available documentation and information carefully and contact Alpha Associates if there are any questions.

For information on typical financial services for investment solutions and the risks attached to the trading, buying, selling and custody of financial instruments, on the characteristics and risks of the different types of financial instruments and on specific financial instruments and the risks associated therewith please refer to the brochure “Special Risks in Securities Trading” of the Swiss Bankers Association [https://www.swissbanking.org/en/services/library/guidelines].

Cost Information

Costs and fees incurred by the clients in connection with the financial products offered and financial services provided by Alpha Associates are disclosed to the clients in detail in the respective product documentation and in the respective agreements entered into with the clients.

Business Affiliations

Alpha Associates is an independent manager and advisor for investments in private equity, private debt and infrastructure based in Zurich. Alpha Associates manages funds of funds as well as tailor-made investment programs for a global, institutional client base and advises and manages funds of funds and investment programs deployed in various strategies, regions and industry sectors.

The company is owned by its founding and managing partners and operates through group companies in Luxembourg and the Cayman Islands. There are no business associations with third parties leading to potential conflicts of interest.

Market Offer

Alpha Associates only offers financial products which are advised or managed by it. When rendering investment advisory or investment management services, such mandates or managed accounts follow individual client requirements and can replicate the investment strategies of the collective investment vehicles managed or advised by Alpha Associates.

Dealing with Conflicts of Interest

Alpha Associates takes the necessary precautions to avoid conflicts of interest between itself or its employees and its clients and to protect the clients from disadvantages resulting from such conflicts. If a conflict of interest cannot be avoided, it will be disclosed by Alpha Associates.

 

Status: January2021