1.         Arbitration

 

1.1       Except for the provisions of paragraph 1.2 below, any claims of the Client against the Investment Manager must be formulated in writing within one month from the date of receipt or, failing that, from the date of first presentation of the corresponding notices. In the absence of a claim or dispute received by the Investment Manager within this period, the steps taken by the Investment Manager are deemed ratified by the Client.

 

1.2       Any claim of the Client relating to the execution, the non-execution or an improper execution of an instruction must be immediately notified in writing, but at the latest within 90 days following the receipt of, or failing that, the date of first presentation of the corresponding notice sent by the Custodian Bank to the Client in the manner agreed between them. In the absence of a claim within the aforementioned period, the acts carried out by the Investment Manager (including the non-execution of an instruction) will be deemed ratified by the Client.

 

1.3       The Investment Manager acknowledges the Client's right, in the event of a dispute, to initiate an arbitration procedure with OFS "Ombud Finance Suisse, 10 rue du Conseil-Général - 1205 Geneva", an institution recognised by the ASG, or any arbitration body imposed by FINMA.

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2.         Confidentiality and professional secrecy

 

2.1       The Investment Manager is bound to respect professional secrecy in respect of his business relationship with the Client and to treat confidentially all data, information and specific documents relating to the Client and received for the performance of his/her professional relationship with the Client.

 

2.2       The Investment Manager shall remain bound to respect professional secrecy after the termination of the Mandate.

 

2.3       When required to do so by virtue of a legal or regulatory obligation, the Asset Manager may disclose information concerning his/her professional relationship with the Client to third parties, including competent Swiss or international authorities, but in strict compliance with Swiss law. The disclosure of data is also permitted in order to protect the Investment Manager's own interests and those of authorized third parties, in particular those recruited to defend those interests in front of any court of justice.

 

2.4       The Investment Manager may, in particular, and in case of the recruitment or delegation of responsibilities to third parties in Switzerland or abroad, be required to share certain information with auxiliaries or third parties mandated by the Investment Manager. Such delegation to third parties is only permitted if the auxiliary or commissioned third party also undertakes to treat the client-specific data, information and documents received within the performance of its delegated duties in a similar confidential manner. The Client is aware that auxiliary persons or third parties residing abroad are not necessarily subject to the same strict regulation of professional secrecy as provided for in Switzerland under Article 69 of the FinIA.

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3.         Protection des données personnelles

 

3.1       Depending on his situation, the Client’s personal data may be protected under Swiss laws (namely under the Federal Act on Data Protection – F.A.D.P. or, as the case may be, under European laws (namely under EU Regulation 2016/679 of 27 April 2016 enacting the General Data Protection Regulation - GDPR).

 

3.2       The personal data collected and processed by the Investment Manager are those communicated to the IM by the Client (including civil status, address, professional situation and fiscal, economic or banking information), the data collected to execute the Management Mandate (including bank references, banking or securities operations and transactions data, investment profile, investment strategy, types of products subscribed to, methods of settlement) and in general all information, correspondence or documents containing personal information submitted or sent spontaneously by the Client or on his behalf.

 

3.3       The Investment Manager shall only collect and process personal data which are strictly necessary to know the Client, to assess his needs, to understand the Client's risk profile and the investment strategy desired by him, for the fight against fraud, as well as to enable the Investment Manager to fulfil his/her local and international legal and regulatory obligations in relation to the fight against money laundering or financing of terrorism.

 

3.4      The Client has the right to access and rectify at any time his/her personal data which he/she has provided in the context of the Management Mandate.

 

3.5       The Investment Manager undertakes to take appropriate physical, technical and organizational precautions to ensure the integrity, availability and in particular to protect personal data entrusted to him against the risks of loss, accidental destruction, alteration or unauthorized access. If the Investment Manager delegates certain obligations arising from the Mandate to third parties, he/she shall ensure that the Client's personal data are used and processed only to the extent he/she has been authorized to use or process the data. The Client expressly authorizes the Investment Manager to provide third parties with the data, information and documents necessary for the fulfilment of his/her obligations arising from the Management Mandate, but solely for this purpose and in a strictly confidential manner.

 

3.6      Under no circumstances will the Client's personal data be transferred or sold to third parties.

 

3.7       Personal data are kept for a period of 10 years from the end of the professional relationship with the Client, respectively for the time necessary to fulfil the purpose for which the data was collected and to respond to any request from a competent authority or in case of litigation.

 

3.8       The Client may at any point in time contact and request the Investment Manager to respect the Client’s rights under the laws and regulations on personal data namely:

 

- The right to access his personal data collected or processed for the performance of the Management Mandate;
- The right of rectification in case of inaccuracy or incomplete information;
- The right to delete ambiguous or outdated personal data, but without prejudice to the Manager's compliance with its legal and regulatory obligations;
- The right to limit the processing of those personal data but without prejudice to the Manager's compliance with its legal and regulatory obligations.

 

3.9       The Clients may exercise the above-mentioned rights by choosing one of the following options:

 

- By contacting the Investment Manager through the below link provided on the Manager’s  website:

https://en.fisconsult-sinews-gestion.com/contactez-nous 

 

- By contacting directly the data protection officer appointed by the Investment Manager, namely :

  Mme Delmarche Marine

  Quai Wilson 45, 1204 Genève, Suisse.

  Marine.delmarche@fisconsult-sinews.com

 

3.10      In the event of a dispute or for any information, the Client may also contact the competent national data protection authority, namely:

 

Préposé fédéral à la protection des données et à la transparence (PFPDT)

Feldeggweg 1

CH -3003 Berne

www.leprepose.ch