Privacy Information

In accordance with the Federal Data Protection Act (FDPA), we hereby provide you with the necessary information regarding the processing of personal data of clients and potential clients in the context of the provision of services by Swan Asset Management SA.

 

1.Definitions

 

1.1 Personal data

This means all information concerning an identified or identifiable individual.

 

1.2 Personal data worthy of special protection

This includes in particular:

  • data concerning religious, philosophical, political or trade union opinions or activities;
  • data concerning health, privacy or membership of a race or an ethnic group;
  • genetic data;
  • biometric data that identifies a specific individual;
  • data concerning administrative and criminal prosecutions and sanctions;
  • data concerning social assistance measures

1.3 Processing

Processing means any operation relating to personal data, regardless of the means and procedures employed, in particular the collection, registration, storage, use, modification, communication, archiving, cancellation or destruction of data.

1.4 Interested person

The interested person refers to the individual whose personal data is being processed.

 

2. Owner and manager of the treatment and data protection officer

This refers to whosoever, individually or together with others, determines the purpose and means of the treatment.

In this case, the data controller is:

Swan Asset Management SA, through the General Management.

 

3. Categories of data collected

In the context of the provision of services by Swan Asset Management SA, Personal Data and Personal Data worthy of special protection may be processed. This usually concerns the following information:

3.1 Information collected from the customer

Among which are:

  • personal data such as name, surname, address, telephone number and email;
  • date and place of birth;
  • sex;
  • marital status, dependents (name and age) and their relationship to the client;
  • copy of identity documents, such as passports and driving licenses;
  • social insurance, national insurance or tax ID or other numbers;
  • nationality, residence for tax purposes and country of residence;
  • occupation, income and source of wealth;
  • assets, investments, assets held and liabilities;
  • investments’ knowledge and experience;
  • personal details of any third party representatives.

3.2 Information collected from third parties

Among which are:

  • publicly available information on public records, such as commercial registers, business registers, with details of companies, partners and assets owned;
  • other information from third party sources, such as asset valuation services, reputation agencies, anti-fraud agencies and/or intermediaries.

3.3 Information related to the services provided by Swan Asset Management SA

The information collected for the purposes of the services provided by Swan Asset Management SA includes:       

  • contract number;
  • assets subject to financial services provided by Swan Asset Management SA;
  • data relating to transactions with financial instruments;
  • phone call logs;
  • reports and accounting documents.

3.4 Personal data worthy of special protection and other information

In addition to the above and in particular in fulfillment of legal obligations (including the Law on money laundering and terrorist financing, LRD), Swan Asset Management SA may collect both from the customer and from third party sources, personal data worthy of particular protection, such as opinions, positions or political affiliations, and, within the limits of the law, information relating to criminal convictions and offences.

Where relevant to the services provided, Swan Asset Management SA may request information about other people, such as business associates (including shareholders and beneficial owners), dependents or family members, representatives and agents. The customer is invited to transmit a copy of this information to the interested parties before providing us with this information.

 

4. Purpose of data processing

The treatment carried out by Swan Asset Management SA takes place only in cases permitted by law and in particular is aimed at:

  • the correct and complete execution of the contract stipulated with the customer (as well as the previous legal documents necessary for the stipulation of the contract);
  • to fulfill legal obligations (provided in particular by anti-money laundering, financial, tax and accounting legislation);
  • protect the legitimate interests of Swan Asset Management SA, provided that the interests and fundamental rights of the client do not prevail.

Specifically, Personal Data may be processed by Swan Asset Management SA, to:

  • identify the contracting party, confirm and verify his identity;
  • start a business relationship, and possibly offer services and/or financial instruments in favor of the customer;
  • monitor the business relationship and analyze the execution of the contract in accordance with the client's situation and instructions and carry out the necessary adequacy and/or appropriateness checks;
  • perform business and administrative operations and activities, including account keeping and internal controls;
  • comply with applicable laws and regulations and/or industry practices;
  • fulfill requests and/or measures formulated by the competent authorities and/or supervisory bodies;
  • legal, administrative, executive and/or criminal proceedings and to possibly obtain legal advice or ascertain, exercise or defend rights recognized by law;
  • transmit to the client information and announcements about events, products and services offered by Swan Asset Management SA, at the request of the client or if presumed to be of interest.

Personal data may be processed by means of both paper and IT archives (including possibly portable devices) and processed in ways that are strictly necessary to meet the aforementioned purposes.

To this end, the person concerned undertakes to provide their personal data in a correct, complete and truthful manner and to the extent necessary for the aforementioned purposes.

 

5. Legal basis of the treatment

Swan Asset Management SA processes personal data lawfully, in accordance with articles 5-9 LPD, where the treatment:

  • is necessary for the execution of the contract signed by the person concerned or for the execution of pre-contractual measures adopted upon request;
  • is necessary to comply with Swan Asset Management SA's legal obligations;
  • is based on the express consent of the person concerned.

 

6. Consequences of failure to provide personal data

For the correct execution of the contract as well as to fulfill any regulatory obligations of Swan Asset Management SA, the interested person undertakes to provide the necessary personal data; otherwise, in the event of failure to provide personal data, the contractual relationship referred to in the contract cannot be perfected and Swan Asset Management SA may be unable to fulfill its legal obligations.

 

7. Data Retention

Swan Asset Management SA retains Personal Data for the period of time necessary to achieve the purposes for which it was collected or to comply with legal, regulatory, accounting or reporting obligations.

 

8. Data communication

8.1 Third Party Communications

The Personal Data of the person concerned may be communicated to the following categories of recipients, for the purposes listed above:

  • entities providing services for the management of the information system used by Swan Asset Management SA and telecommunications networks (including e-mail);
  • firms or companies in the field of assistance and consultancy relationships as well as auditing firms, supervisory bodies;
  • to any agents, auditors, service providers and professional advisers to process your information in the above situations as processors on our behalf and/or as joint controllers with respect to their obligations;
  • competent authorities for the fulfillment of legal obligations and/or provisions of public bodies, upon request;
  • to courts and/or judicial, executive, criminal or administrative authorities, to any competent tribunal, mediator, arbitrator, ombudsman, tax, regulatory or governmental authority;
  • to any third parties in the context of restructuring operations (including investments), aggregation, merger, transfer or sale of Swan Asset Management SA;
  • to other financial institutions or intermediaries, stock exchanges, etc., as applicable;
  • other subjects, with the consent of the customer.

8.2 Transfer abroad

Personal data may only be disclosed abroad if the Federal Council has determined that the legislation of the recipient state or the international body guarantees adequate data protection.

Within the scope of the aforementioned purposes, Swan Asset Management SA makes use of certified and secure service providers who are established and process personal data in Switzerland, in the states of the European Union and in the USA (limited to encrypted data). Therefore, communications of personal data to third countries that do not protect the data adequately are excluded; Communications based on prior and express consent of the person concerned, based on his explicit instruction, or performed on the basis of a legal obligation, remain confidential.

 

9. Rights of the person concerned

According to the FADP, the person concerned has in particular the following rights (non-exhaustive list):

  • The right to information about the possible processing of personal data relating to the person concerned;
  • The right of access, including:
    • obtain the rectification of inaccurate or obsolete personal data;
    • be informed in writing and free of charge if their personal data is being processed;
    • revoke consent to data processing issued in the past;
    • comment on an automated individual decision or request that it be reviewed by an identified individual;
  • The right to have data delivered or to request its transmission to third parties;
  • The right to request that data processing be blocked, and that it be prevented from being communicated to third parties or that personal data be rectified or destroyed.

In addition to any other administrative and judicial appeal, if the interested person believes that the processing of data concerning him violates the provisions of the LPD, he has the right to lodge a complaint with the Federal Data Protection Commissioner (FDPC).

The exercise of the rights by the interested party can be done by notifying the address of Swan Asset Management SA.

Swan Asset Management SA reserves the right to ask the client for specific information confirming his identity and guaranteeing his right to access the information (or to exercise other rights). This is a further security measure aimed at preventing the communication of Personal Data to entities not entitled.

 

10. Changes to this Privacy Information

Swan Asset Management SA reserves the right to update this Information at any time, by informing clients in writing of the changes that have occurred or by updating the Privacy Information on our website: www.swan-am.ch. From time to time, communications may be sent to the customer by other means regarding the processing of Personal Data concerning him.

 

 

Version: 01.09.2023

SPECIFIC LEGAL NOTES FOR INVESTMENT FUNDS AND SICAV

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This site and the documents displayed on it contain information about funds that are authorized for sale to qualified investors in Switzerland in accordance with art. 10 para. 3, 3bis and 3ter of the Collective Investment Scheme Act (CISA) with residence in Switzerland. It is intended solely for the use of the person who has accessed this information and may not be reproduced or distributed to any other person.

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Investing in the Fund and its Sub-Funds involves risks, including in particular those associated to market fluctuations and the risks inherent in any investment in financial assets. Investments may also be affected by changes to the rules and regulations governing exchange controls or taxation, including withholding tax, or by changes to economic and monetary policies. No guarantee can be given that the Fund’s and Sub-Funds’ objectives will be achieved and that investors will recover the amount of their initial investment.  Past performance is not an indicator for future results or performance. The Sub-Funds are exposed to various risks, depending on their respective investment policies. Investors should read the Prospectus carefully and consult their own professional adviser(s) as to the implications of subscribing for or otherwise dealing in the shares.

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