Information for Investors

Below, the 1741 Group provides its investors with a brief description of these strategies.

Complaints Procedure

The following procedural rules have been adopted in order to establish and apply an effective and transparent procedure for the appropriate and prompt handling of external complaints. This is on the one hand due to the legal regulatory requirements in Switzerland and in the EU / EEA region, but especially in the particular interest of investors in the investment funds managed by the 1741 Group. Whenever the 1741 Group is referred to below, this refers to each of the companies belonging to the Group in the investment fund administration area.

The 1741 Group has designated two complaints officers to whom investors in an investment fund managed or distributed by the 1741 Group may apply at any time. You can address your request to us as follows:

1741 Fund Management Ltd
Complaint Management
Bangarten 10
LI-9490 Vaduz
T +423 237 46 66
F +423 237 46 69
info@1741group.com

1741 Fund Solutions Ltd
Complaint Management
Burggraben 16
CH-9000 St. Gallen
T +41 58 458 48 00
F +41 58 458 48 10
info@1741group.com

In order to ensure a swift and competent processing of your request, we ask for the following information:

  • Name of the investment fund concerned, quoting its ISIN number
  • Facts and grounds for complaint
  • Your contact details (name, address, telephone and email)

The 1741 Group regularly monitors the effectiveness of this policy in order to detect any defects and to rectify them immediately.

1741 Group, 31.10.2017

Best Execution and Broker Selection Policy

The 1741 Group has established a process to meet the requirements of Best Execution and Broker Selection, so that the best possible results can be achieved when trading financial instruments.

This is on the one hand due to the legal regulatory requirements in Switzerland and in the EU / EEA region, but especially in the particular interest of investors in the investment funds managed by the 1741 Group. Whenever the 1741 Group is referred to below, this refers to each of the companies belonging to the Group which manage investment funds.

As the 1741 Group has partially delegated investment management to approved and supervised portfolio managers, it is contractually committed to ensure that its delegates comply with the requirements of this policy.

Basically, the 1741 Group, or its delegates, considers the following factors to achieve the best possible result of a transaction:

  • Price
  • Costs
  • Speed ​​and probability of execution and settlement
  • Scope and nature of the contract
  • Other factors relevant to the execution

The weighting of these factors depends on the relative importance that the 1741 Group or its delegates attach to these factors in a transaction. The following criteria are decisive:

  • Objectives, investment policy and specific risks regarding assets
  • Order characteristics
  • Asset characteristics
  • Stock exchange characteristics to which the order will be placed to

When selecting the stock exchange, the execution venue is selected that will allow the best possible execution based on the above criteria.

The 1741 Group regularly monitors the effectiveness of this policy in order to detect any defects and to rectify them immediately.

1741 Group, 31.10.2017

Information about dealing with conflicts of interest

In accordance with the law, the 1741 Group must disclose unavoidable conflicts of interest to investors in an investment fund and inform investors about the precautions and measures for dealing with conflicts of interest.

This is on the one hand due to the legal regulatory requirements in Switzerland and in the EU / EEA region, but especially in the particular interest of investors in the investment funds managed by the 1741 Group. Whenever the 1741 Group is referred to below, this refers to each of the companies belonging to the Group which manage investment funds.

Conflicts of interest relevant to the 1741 Group may inter alia occur between:

  • the companies of the 1741 Group
  • an employee and a customer of the 1741 group
  • two or more customers
  • an employee and the 1741 group
  • two or more employees
  • the 1741 group and a supplier

Conflicts of interest may arise in particular:

  • in asset management for its own (sales) interest in the sale of financial instruments, in particular the Group’s own products
  • upon receipt or guarantee of donations from or to third parties
  • through a performance-related remuneration of employees
  • in guaranteeing benefits to our employees
  • by obtaining information that is not publicly known
  • from personal relationships of our employees or the management or persons associated with them or
  • in the participation of such persons in supervisory or advisory boards

In order to prevent non-relevant interests from influencing, for example, advice, order execution, asset management or financial analysis, the 1741 Group has committed itself to the highest ethical standards. The 1741 Group expects from all its persons involved at all times diligence and honesty, lawful and professional action, the observance of market standards, and in particular always the consideration of the customer’s interest.

The 1741 Group specifically takes the following measures to avoid conflicts of interest:

  • Creation of organisational procedures and processes
  • Arrangements for the acceptance and granting of benefits and their disclosure
  • Creation of areas of confidentiality by setting up information barriers, separation of responsibilities and/or territorial separation
  • Maintaining an insider or watch list to monitor sensitive information and prevent misuse of insider information
  • Disclosure of securities transactions of such employees with the Compliance Agent where conflicts of interest may arise in the course of their activities
  • Training of employees
  • Ongoing monitoring and reporting of identified compliance conflicts

The 1741 Group regularly monitors the effectiveness of this policy in order to detect any defects and to rectify them immediately.

1741 Group, 31.10.2017

Strategies for the exercise of voting rights

The 1741 Group has established an effective voting strategy adapted to the respective business model. This is on the one hand due to the legal regulatory requirements in Switzerland and in the EU / EEA region, but especially in the particular interest of investors in the investment funds managed by the 1741 Group. Whenever the 1741 Group is referred to below, this refers to each of the companies belonging to the Group which manage investment funds.

The 1741 Group always acts in the best interests of investors when exercising voting rights for the investment funds it manages. The following measures are implemented:

The 1741 Group actively pursues all relevant corporate events and agenda items with regard to the portfolios it manages. This measure ensures that all relevant events, such as general meetings on topics such as share capital changes, compensation programmes, etc., ensure that the interests of investors are exercised in accordance with the investment objectives and investment policy of the investment fund concerned.

The effective exercise of voting rights will normally only take place in those cases where the 1741 Group could exercise more than 5% of the voting capital of a company held on behalf of the funds it manages. However, the exercise is reserved in those cases in which this would correspond to the best interests of the investors.

Any conflicts of interest in connection with the exercise of voting rights are prevented as far as possible, otherwise disclosed.

If the 1741 Group has delegated the investment decisions to an external asset manager, it may make its recommendations regarding voting behaviour, even if the above threshold of 5% is not exceeded.

At the same time, the 1741 Group contractually informs its asset managers that they are authorised but not required to exercise the voting rights resulting from the investments. The 1741 Group also reserves the right to exercise such rights itself. If the asset manager wishes to exercise voting rights himself, he informs the 1741 Group in advance.

The 1741 Group regularly monitors the effectiveness of this policy in order to detect any defects and to rectify them immediately.

1741 Group, 31.10.2017

Compensation Principles

The 1741 Group has set internal compensation principles that apply to the remuneration of its own employees. Within the meaning of the present policy, members of a board of directors of the 1741 Group also count as own employees.

This is on the one hand due to the legal regulatory requirements in Switzerland and in the EU / EEA region, but especially in the particular interest of investors in the investment funds managed by the 1741 Group. Whenever the 1741 Group is referred to below, this refers to each of the companies belonging to the Group which manage investment funds.

These principles are summarised below and their effectiveness shown.

  • The 1741 Group has adopted an internal guideline on the implementation of the compensation principles, which aims to strike a balance between fixed and any variable remuneration components in the remuneration of its own employees. The main purpose of this guideline is to find a reasonable compensation base for one’s own employees without motivating them to accept increased risks.
  • The remuneration principles are an essential factor in risk management, as an effective remuneration policy can avoid incentives that are inconsistent with the risk profiles or constituent documents of the managed funds.
  • Furthermore, the remuneration principles are a key factor in avoiding conflicts of interest, as an effective remuneration system can avoid conflicts of interest between the 1741 Group, its managed investment funds and, in particular, investors.

The remuneration principles are reviewed at least annually for their appropriateness and effectiveness and, if necessary, adjusted accordingly.

1741 Group, 31.10.2017

Fund Information

Information on the funds of 1741 Fund Management AG can be found on the pages of the “Liechtenstein Investment Fund Association”:
www.lafv.li

Information on the funds of 1741 Fund Solutions AG can be found on the pages of “SWISS FUND DATA”:
www.swissfunddata.ch

Important Information

By clicking on “Confirm” you confirm that:

  • You have read and agree to the legal provisions;
  • You as a qualifying investor in accordance with Art. 10 (3) of the Federal Law on Collective Investment Schemes (CISA);
  • You have your domicile / domicile in Switzerland.
Wichtige Informationen

Mit Ihrem Klick auf «Bestätigen» bestätigen Sie, dass:

  • Sie die rechtlichen Bestimmungen gelesen und mit diesen einverstanden sind;
  • Sie als qualifizierter Anleger gemäss Art. 10 Abs. 3 des Bundes-
    gesetzes über die kollektiven Kapitalanlagen (KAG) gelten;
  • Sie als professioneller Investor nach der AIFMD (RL 2011/61EU) gelten;
  • Sie Ihr Domizil / Ihren Sitz in Liechtenstein oder einem anderen EU/EWR Land haben, indem eine Notifikation der 1741 AI SICAV stattgefunden hat.
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