The Financial Services Act (FinSA) entered into force on 1 January 2020 with the aim of strengthening investor protection and creating a comparable level playing field for all financial service providers.

SWAN Asset Management Ltd (hereinafter referred to as SWAN), as a financial intermediary subject to FINMA’s prudential supervision, implemented the organisational measures within the statutory deadlines and promptly updated its clients via its website and/or personalised communications.

Ombudsman

FinSA provides for the possibility for clients of financial intermediaries to apply to an ombudsman body in order to resolve any disputes.
In general, the ombudsman is only contacted after a written complaint has been lodged with SWAN and a consensual solution has been sought. If no agreement is reached for the customer, it is possible to contact a mediation body which, neutrally and free of charge, will be responsible for resolving the dispute. The following are the contact details of SWAN and the ombudsman to which it is affiliated:

Swan Contacts:

SWAN Asset Management SA
Via Zuccoli 19
6900 Lugano Paradiso
Phone: +41 91 9863190
Mail: info@swan-am.ch

Contacts of the Ombudsman:

Ombud Finance Suisse SFO
Rue du Conseil Général 10
1205 Geneva
Phone : +41 22 808 04 51
www.ombudfinance.ch