Important information

Here follows important information and central governing documents for Finserve's operations.

STATE

Finserve has received the following permission from the Swedish Financial Supervisory Authority:

2022-05-24 Receive and forward orders financial instruments
2022-05-24 Leave investment advice
2019-05-15 Swedish AIF managers' marketing of an EEA-based AIF
2016-12-16 Market the AIF to non-professional investors in Sweden
2016-12-16 Manage AIF fund strategy other strategies
2015-12-18 Manage AIF fund strategy hedge funds
2015-12-18 Manage AIFs
2015-12-18 Discretionary portfolio management, LAIF
2011-06-08 Discretionary portfolio management, LVF
2006-11-02 License for fund operations

SUSTAINABILITY RISKS INTEGRATION POLICY

Finserve Nordic believes that the integration of sustainability risks is an important part of its funds' investment processes. Where sustainability risks are defined as environmental, social or corporate governance-related circumstances that could have a significant negative impact on the value of the investment. All funds under Finserve's management follow the responsible investment process formalized in Finserve's Sustainability Risk Integration Policy.

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CAPITAL COVERAGE

In accordance with the Financial Supervisory Authority's regulations (FFFS 2014:12) and general advice, European Parliament and Council Regulation No. 575/2013 (CRR) and Commission Implementing Regulation (EU) No. 1423/2013, the fund company, Finserve Nordic AB (556695-9944), publishes periodic information on capital coverage.

Capital adequacy Finserve Nordic AB 2024-03-31
Capital adequacy Finserve Nordic AB 2023-12-31
Capital adequacy Finserve Nordic AB 2023-09-30
Capital adequacy Finserve Nordic AB 2023-06-30
Capital adequacy Finserve Nordic AB 2023-03-31
Capital adequacy Finserve Nordic AB 2022-12-31
Capital adequacy Finserve Nordic AB 2022-06-30
Capital adequacy Finserve Nordic AB 2022-03-31
Capital adequacy Finserve Nordic AB 2021-12-31
Capital adequacy Finserve Nordic AB 2021-06-30
Capital adequacy Finserve Nordic AB 2021-03-31


REFUND POLICY

The board of Finserve Nordic AB (the "Company") has, in accordance with the Financial Supervisory Authority's regulations (FFFS 2011:1) on remuneration policy in credit institutions and fund companies, established the following remuneration policy.

The company's board has adopted a remuneration policy on behalf of the company. The goal of the policy is to promote sound and efficient risk management and to discourage excessive risk-taking by those who are active in the Company. The policy covers all employees in the Company. In accordance with the aforementioned regulations, the company has identified so-called specially regulated personnel, i.e. employees in leading strategic positions, employees with responsibility for control functions, risk takers and employees whose total remuneration amounts to, or exceeds the total remuneration of someone in the executive management. The policy shows, among other things, how the Company intends to handle the structure of remuneration, postponement of variable remuneration and loss of remuneration for affected personnel.

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EXERCISE OF VOTING RIGHTS

The board of Finserve Nordic AB ("the Company") has, in light of Article 37 of the EU Commission's delegated regulation 231/2013 and ch. 2. 17h-k Act (2004:46) on securities funds established this guideline. Under the Delegated Regulation, an AIF manager is required to design appropriate and effective strategies to determine when and how voting rights in the funds are to be exercised, exclusively for the benefit of the relevant funds and its unitholders.
The guideline must be reviewed and determined regularly, at least once a year, or otherwise as needed. Changes to the guideline must be approved and adopted by the board.
The company's CEO is responsible for this guideline being updated if necessary and presented to the board for approval.

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AUDIT & CONTROL

Chartered Accountant
PwC AB, Responsible auditor is Susanne Sundvall.

The compliance function
The company has commissioned DLA Piper AB to maintain the regulatory compliance function for the company. Responsible for regulatory compliance is Alf-Peter Svensson at DLA Piper AB.
The function's main task is to check that the company complies with applicable regulations.

Internal audit
Leif Lüsch, Lüsch & Co Revision AB

Fund administration
Fund administration of the Company's AIF funds is carried out by the Company's own group for fund administration.

Fund administration of the Company's UCITS funds is outsourced to ISEC Services AB (www.isec.com), Vattugatan 17, 111 52 Stockholm

The funds' various Custodians

  • Skandinaviska Enskilda Banken AB (publ), Organization number: 502032-9081, Board seat: Stockholm, Postal address: 106 40 Stockholm
  • Danske Bank A/S, Norrmalmstorg 1, SE-103 92 Stockholm
  • Intertrust Group, Sveavägen 9, 111 57 Stockholm
  • Swedbank AB, Landsvägen 40, Sundbyberg

CUSTOMER COMPLAINTS

Complaints officer
CEO
Phone: +46-8-52027997

Complaints must be sent to the address below:
Finserve Nordic AB
Riddargatan 30
114 52 Stockholm

Complaint
Complaints must be answered factually and correctly and at the customer's request in writing. If the complaint is to be regarded as a simple error or misunderstanding, this should be remedied immediately. If the contractor cannot respond to the case within 14 days from the day the complaint was received, the customer must be informed in writing about the handling of the case and how it is.

Then you move on
If you are not satisfied with our decision, you can turn to the Consumer Banking and Finance Agency, an impartial body that provides consumer information and information on matters of a financial nature.
Box 24215, 104 51 Stockholm, Visiting address: Karlavägen 108
Telephone 0200 – 22 58 00,
+46 8 22 58 00 (from abroad)
Telephone hours are weekdays 9am – 12pm