Important information

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

STATE

Finserve is licensed to manage UCITS funds, AIF funds and discretionary portfolios.
2022-05-24 Receive and forward orders in respect of financial instruments
2022-05-24 Leave investment advice
2015-12-18 Permit for mutual funds. according to. LAIF
2015-12-18 discr. portfolio management of investment portfolios
2015-12-18 Fund strategy for hedge funds
2011-06-08 Discretionary portfolio management regarding financial instruments.
2006-11-02 Permit for mutual funds. according to. the Act on Investment Funds

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.
2015-12-18 discr. portfolio management of investment portfolios
2011-06-08 Discretionary portfolio management regarding financial instruments.
2015-12-18 Fund strategy for hedge funds
2006-11-02 Permit for mutual funds. according to. the Act on Investment Funds

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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AUDIT & CONTROL

Chartered Accountant
PwC AB, Responsible auditor is Daniel Algotsson.

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

  • SEB (publ), Sergels Torg 2, SE-106 40 Stockholm
  • Danske Bank A/S, Norrmalmstorg 1, SE-103 92 Stockholm
  • Intertrust Group, Sveavägen 9, 111 57 Stockholm

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