Regulatory Information

Client information in accordance with the Financial Services Act (FIDLEG)

Based on the legal requirements of Art. 8 et seq. of the Financial Services Act (FIDLEG), the following provides an overview of Lakefield Partners AG (hereinafter the "Financial Institution") and its services.

1. Information about the company Financial Institution

Lakefield Partners AG
Seefeldstrasse 281
8008 Zurich
Phone: +41 43 500 40 00

The Financial Institution was founded in 2012.

Supervisory authority and audit firm

The Financial Institution has been licensed as a manager of collective assets since 2014 and is therefore subject to prudential supervision by the Swiss Financial Market Supervisory Authority FINMA. As part of this supervision, the Financial Institution is audited and reviewed annually by the audit firm Grant Thornton AG for both regulatory and statutory purposes. The address of FINMA and Grant Thornton AG can be found below.

Eidgenössische Finanzmarktaufsicht FINMA
Laupenstrasse 27
3003 Bern
Phone: +41 31 327 91 00

Grant Thornton AG
Claridenstrasse 35
8027 Zürich
Phone: +41 43 960 71 71

Ombudsman Office

The Financial Institution is affiliated with the independent ombudsman's office OFS Ombud Finance Switzerland, which is recognized by the Federal Department of Finance. Whenever possible, disputes concerning legal claims between clients and the Financial Institution shall be settled by the ombudsman's office within the framework of a mediation procedure.    

The address of OFS Ombud Finance Switzerland can be found below.

16 Boulevard des Tranchées
1206 Geneva
Phone: +41 22 808 04 51

2. Information about the financial services offered

The Financial Institution provides asset management services and investment advisory services to its clients.

Furthermore, the Financial Institution provides financial services in relation to collective investment schemes. For information on the various collective investment schemes, the general risks, characteristics and modalities of operation, please refer to the relevant prospectuses and factsheets.

The Financial Institution guarantees neither a return nor a success in the context of the investment activity. The investment activity can therefore lead to capital gains but also to capital losses.

3. Client segmentation

Financial service providers are required to assign their clients to a legally defined client segment. The Financial Services Act provides for the segments "private clients", "professional clients" and "institutional clients". A client classification is defined for each client as part of the cooperation with the Financial Institution.

At the Financial Institution, all clients are generally classified in the "private clients" segment. This means that they benefit from the most comprehensive investor protection, which has an impact, particularly on the duties to provide information and the duties of conduct in connection with the examination of suitability and appropriateness when acquiring financial instruments.

Subject to complying with certain conditions, the customer can change the customer classification by so-called opting-in or opting-out.

4. Information on risks and costs

General risks in trading with financial instruments

The investment advisory and asset management services involve financial risks. The Financial Institution hands out the brochure "Risks in Trading with Financial Instruments" to all clients before they conclude a contract. This brochure can also be found at Clients of the Financial Institution may contact their Relationship Manager at any time if they have any further questions.

Risks in the context of the service offered

For a description of the various risks that may arise from the investment strategy for the client's assets, please refer to the relevant investment advisory and asset management agreements. Cost information

A fee is charged for the services provided, which is normally calculated on the assets under management and/or on a performance-related basis. For more detailed information, please refer to the relevant investment advisory or asset management agreements.

5. Information about ties to third-parties

In connection with the performance of the financial services offered by the Financial Institution, no economic ties exist with third-parties, and no payments from third-parties are accepted.

6. Information about the considered market offer

The Financial Institution’s own collective investments schemes are used for the efficient implementation of the investment strategies in the asset management mandates or recommended within the scope of investment advice. In the case of investment segments that are not covered by the Financial Institution's own collective investment schemes, the Financial Institution seeks to make the best possible choice for the client when selecting financial instruments.