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Credit Suisse Asset Management

Regulatory information

Financial markets are closely regulated to ensure they function efficiently and effectively. Governments and regulatory authorities around the globe have proposed and enacted numerous reforms to help create a more robust financial system.

Shareholder rights: transparency statement, engagement policy and voting rights

Credit Suisse Asset Management ensures that investee companies follow good governance practices engaging with companies and by exercising voting rights.

Further information:

Summary of Investor Rights for EEA domiciled funds

This statement is a summary of investor rights prepared in relation to Regulation (EU) 2019/1156 of the European Parliament and of the Council of June 20, 2019 on facilitating cross-border distribution of collective investment undertakings and amending Regulations (EU) No 345/2013, (EU) No 346/2013 and (EU) No 1286/2014 (the "Regulation").  One of the goals of the Regulation is to ensure that investors are provided with a summary of investor rights resulting from their investment in an undertaking for collective investment in transferable securities in the meaning of Directive 2009/65/EC or, under certain circumstances, in an alternative investment fund in the meaning of Directive 2011/61/EU (hereinafter referred to as "Fund" or jointly as "Funds"). 

It is not the intention of this summary to give an exhaustive list of rights Investors may have. Further information may also be obtained in the respective Fund's prospectus, offering document or other pre-contractual disclosure document as well as by contacting the management company or alternative investment fund manager ("AIFM"), respectively.

Conflict of Interest Policy of Credit Suisse Asset Management (Switzerland) Ltd.

The below summary of the Conflicts Policy applicable to Credit Suisse Asset Management (Switzerland) Ltd outlines how we will manage actual and potential conflicts of interest that may arise through the provision of services to you.

Statement on Best Execution Principles of Credit Suisse Asset Management (Switzerland) Ltd.

This Statement on Best Execution Principles (hereafter as “Statement”) describes the approach of Credit Suisse Asset Management (Switzerland) Ltd. (hereafter as “CSAM”) when seeking to achieve Best Execution of order placements on behalf of its client portfolios, which may be either collective investment schemes or discretionary portfolio management mandates for institutional and private clients.

This Statement, including the appendices which should be read in conjunction, summarizes the standards applied by CSAM with respect to Best Execution which are regulated in the internal CSAM Best Execution Policy and guidelines (hereafter as “Policy”). It thereby provides all relevant information on CSAM order execution and order transmission as required by applicable law and by following the standards of the Markets in Financial Instruments Directive 2014/65/EU (hereafter as “MiFID II”).

For clients serviced by Credit Suisse legal entities other than CSAM, please note that there might be separate statements in place which describe the Best Execution principles of those legal entities. Please contact your local Relationship Manager for further information.

Best Execution Publications of Credit Suisse Asset Management (Switzerland) Ltd.

This Report on the Top 5 Execution Venues and Top 5 Brokers (hereafter as “Top 5 Report”) describes the approach of Credit Suisse Asset Management (Switzerland) Ltd. (hereafter as “CSAM”, “we”, or “us”) in identifying the parties to which orders have been transmitted for execution respectively identifies the Execution Venues with whom orders have been executed on behalf of client portfolios.

This Top 5 Report is linked to the Statement on Best Execution Principles of Credit Suisse Asset Management (Switzerland) Ltd (hereafter “Statement”; available on the CSAM website) and is also linked to the Report on Best Execution Quality obtained (hereafter as “Quality Report”, also available on the CSAM website). All publications follow the recent developments and disclosure requirements of relevant law by applying the standards of the Markets in Financial Instruments Directive 2014/65/EU (hereafter “MiFID II”). More specifically, this (asset class specific) Top 5 Report refers to the obligations set out in art. 27.6 of MiFID II, art. 65.6 of the Commission Delegated Regulation (EU) 2017/565 and art. 3.1 and 3.2 of Commission Delegated Regulation (EU) 2017/576 (“RTS 28”).

This Report is intended to cover the period from 01/01/2020 to 31/12/2020. As outlined in ESMA’s Q&A on MiFID II and MiFIR investor protection topics, certain aspects of the RTS 28 requirements are tied to new provisions from MiFID II or MiFIR. Given that CSAM is not a firm directly subject to MiFID II provisions, it is not directly obliged to comply with the best execution requirements, but endeavors to do so in order to provide the best service to its clients. Thus, this Report may not include some of the detail required by RTS 28 for the information obtained when MiFID II entered into force. Where this is the case, some of the arrangements described may reflect adjustments made by CSAM in preparation for and the context of MiFID II.

For clients serviced by Credit Suisse legal entities other than CSAM, please note that there might be separate Top 5 Reports which disclose the transmission and execution details obtained of those legal entities. Please contact your relationship manager for further information.

This Report on Best Execution Quality Obtained (hereafter as “Report”) describes the approach of Credit Suisse Asset Management (Switzerland) Ltd. (hereafter as “CSAM”, “we”, or “us”) in identifying and evaluating the Execution Quality obtained based on the arrangements been setup when seeking to achieve Best Execution of order execution on behalf of client portfolios.

This Report is linked to the Statement on Best Execution Principles of Credit Suisse Asset Management (Switzerland) Ltd. (hereafter “Statement”; available on the CSAM website). Both, this Report and the Statement, highlight the CSAM approach to validating Best Execution Quality. Both publications follow the recent developments and disclosure requirements of relevant law by applying the standards of the Markets in Financial Instruments Directive 2014/65/EU (hereafter “MiFID II”). More specifically, this (asset class specific) Report on Execution Quality Obtained refers to the obligations set out in art. 27.6 of MiFID II and art. 3 of Commission Delegated Regulation (EU) 2017/576 (“RTS 28”).

This Report is intended to cover the period from 01/01/2020 to 31/12/2020. As outlined in ESMA’s Q&A on MiFID II and MiFIR investor protection topics, certain aspects of the RTS 28 requirements are tied to new provisions from MiFID II or MiFIR. Given that CSAM is not a firm directly subject to MiFID II provisions, it is not directly obliged to comply with the Best Execution requirements, but endeavors to do so in order to provide the best service to its clients. Thus, this Report may not include some of the details required by RTS 28 for the information obtained when MiFID II entered into force. Where this is the case, some of the arrangements described may reflect adjustments made by CSAM in preparation for and in the context of MiFID II.

For clients serviced by Credit Suisse legal entities other than CSAM, please note that there might be separate Best Execution Statements and Reports which describe the Best Execution Quality obtained of those legal entities. Please contact your relationship manager for further information.

Ombudsman of Credit Suisse Asset Management (Switzerland) Ltd.

If you are not entirely satisfied with the service of Credit Suisse Asset Management (Switzerland) Ltd., we would like to hear from you as soon as possible. We will aim to put matters right as soon as we can. The quickest way to address any concerns you might have is to contact your Credit Suisse Asset Management (Switzerland) Ltd. representative. They will strive to answer any questions and resolve any concern you might have. 

You can also write to us at:

Credit Suisse Asset Management (Switzerland) Ltd.
COO Office
Kalandergasse 4
8070 Zurich
Switzerland
Fax: +41 44 333 22 50

We constantly strive to resolve any concern you raise. However, if you are not satisfied with our final response, you can refer your case to the Finanzombudsstelle Schweiz.

Finanzombudsstelle Schweiz (FINOS)

Talstrasse 20
CH-8001 Zurich
Switzerland

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