FINSA Client information
Based on the legal requirements of Art. 8ff. of the Financial Services Act (FINSA), we would like to supply you with this information sheet which provides an overview of Triaxis Ltd. and its services.
A. Company information
043 311 27 27
Triaxis Ltd. was established in 1983
Supervisory authority and audit firm
With the new Financial Institutions Act (FinIA), all financial institutions will in future need a license from FINMA to carry out their professional activities as asset managers. Triaxis Ltd. has received this license on March 28th, 2022. FINcontrol Suisse Ltd. operates as an independent Swiss Supervisory Organization according to FINMASA and is the supervisory partner of Triaxis Ltd. Also, Triaxis Ltd. is audited and reviewed by the auditing company CAPREV Ltd., both in terms of supervisory law and in terms of obligations. The address of FINcontrol Suisse Ltd. and CAPREV Ltd. can be found below.
FINcontrol Suisse Ltd.
Telefon: +41 41 767 36 00
CAPREV Wirtschaftsprüfung und -beratung AG
Telefon: +41 41 761 92 45
Triaxis Ltd. is affiliated with the independent ombudsman, which is recognized by the Federal Department of Finance. Disputes concerning legal claims between the customer and Triaxis Ltd. should be settled by the ombudsman’s office, if possible, within the framework of a mediation procedure. The address of the Finanzombudsstelle Switzerland (FINOS) is stated below.
Finanzombudsstelle Schweiz (FINOS)
Telefon: +41 44 552 08 00
B. Information on the offered financial services
Triaxis Ltd. provides asset management services, portfolio-based and transaction-based investment advisory services as well as execution-only services to its clients. In the case of a transaction-based investment advisory mandate with the financial institution, a personal recommendation relating to individual financial instruments is provided to the client. The decision to buy or sell remains always ultimately with the client.
Triaxis Ltd. does not guarantee any yield nor performance of investment activities. The investment activity can therefore lead to an appreciation or a depreciation in value.
C. Client segmentation
Financial service providers are required to classify their customers into a client segmentation according to the law and adhere to the respective code-of-conduct. The Financial Services Act provides for «retail customers», «professional customers» and «institutional customers» segments. For each customer, a customer classification is determined within the framework of the cooperation with the financial institution. Subject to certain conditions, the customer may change the customer classification by opting in or opting out.
D. Information on risks and costs
General risks associated with financial instruments transactions
The investment advisory and asset management services involve financial risks. Triaxis Ltd. shall provide all clients with the «Risks associated with Financial Instruments Transactions» brochure prior to the execution of the contract. This brochure can also be found at www.swissbanking.org .
Clients of Triaxis Ltd. may contact their client advisor at any time if they have any further questions.
Risks associated with the offered services
For a description of the various risks that may arise from the investment strategy for clients’ assets, please refer to the relevant Investment advisory or asset management agreements.
In the case of investment advice, the financial institution shall provide its retail clients with the basic information sheet of the recommended financial instrument.
Information on costs
A fee is charged for the services rendered, which is usually calculated on the assets under management and/or on a performance basis. For more detailed information, please refer to the relevant investment advisory or asset management agreements.
E. Information about relationships with third parties
In connection with the financial services offered by Triaxis Ltd., economic ties may exist with third parties. The acceptance of payments from third parties as well as their treatment are regulated in detail and comprehensively in the respective investment advisory and asset management contracts.
F. Information on the market offer considered
Triaxis Ltd. basically follows an «open universe approach» and tries to make the best possible choice for the client when selecting financial instruments. The financial institution’s own collective investments can – where appropriate – be used in the asset management mandates or recommended as part of investment advice.