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Fund Management

Independent Fund Management Company

Path Mountains

Swiss Rock Asset Management Ltd. is one of the very few, bank-independent fund management companies under Swiss law, authorized, supervised and regulated by the Swiss Financial Market Supervisory Authority FINMA.

Swiss Rock enables institutional investors, financial institutions and insurance and management companies to set up, launch and manage investment funds in Switzerland, Luxembourg and Ireland. The range of services also includes coordination between the custodian bank and asset management, fund management functions, representation of foreign funds and administration of collective investments. Swiss Rock Asset Management AG is characterized by its complete independence from financial institutions and specializes in finding and engaging the most suitable partners for its clients.

Activities of the fund management company

  • Foundations of funds
  • Representation of own and foreign investment funds
  • Distribution of own and foreign domestic and foreign investment funds
  • Investment accounting and securities administration
  • Fund accounting and administration
  • Verification of adherence to investment guidelines (compliance)
  • Preparation of legal prospectuses, annual and semi-annual reports of CH funds
  • Contact person vis-à-vis the authorities

Fund structures with domicile in Switzerland

  • Investment funds under Swiss law (category securities funds, other funds for traditional investments and other funds for alternative investments) in the form of contractual investment funds or a SICAV
  • Investment foundations

Fund structures domiciled in Luxembourg

  • Umbrella fund in the form of a SICAV
  • Fund in the form of a Fonds Commun de Placement (FCP)

Fund administration activities

  • Calculation of the net asset value (NAV), which is calculated on each banking day according to the principle of forward pricing
  • Fund accounting with daily booking of portfolio transactions, calculation and booking of management, performance and other fees as well as keeping of fund statistics (SNB, SWX)
  • Compliance: daily monitoring of the investment guidelines recorded in the fund regulations as well as the review of the NAV
  • Authorities: Registration of domestic and foreign funds with FINMA as well as reporting on compliance with investment guidelines
  • Settlement: The Transfer Agent (TA) receives all orders and allocates them to the appropriate funds, posts cash inflows and outflows, and sends execution confirmations. If requested by the customer, the TA makes the instructions for the delivery of unit certificates
  • The TA maintains the share register on a daily basis, in which all registered shareholders are entered
  • Reporting: Preparation of the annual and semi-annual reports according to the needs of the clients as well as the factsheets, which summarize monthly the most important information about the funds such as prices, volumes, sector breakdown and performance
  • The quarterly report provides information on the situation of the markets and their development