FUND MANAGEMENT

Swiss Rock Asset Management AG is a fund management company. It is governed by Swiss law and is licensed and regulated by the Financial Market Supervisory Authority (FINMA).

Investment fund management company

Swiss Rock enables institutional investors, financial institutions, and insurance and asset management companies to set up, launch and manage investment funds in Switzerland, Luxembourg and Ireland. Our range of services furthermore includes fund management, i.e. coordination between the depositary bank and the asset management company. We also act as the local representatives of non-Swiss investment funds and administer collective investments. Swiss Rock Asset Management AG is different because it is completely independent from the banks. We see our role as finding and establishing business relations with the most suitable partners for our customers.

Fund management activities

  • Establish new investment funds
  • Act as representatives for our own and third-party non-Swiss investment funds
  • Market our own and third-party investment funds (Swiss and non-Swiss)
  • Settlement of securities transactions and administration of securities
  • Fund accounting and administration
  • Check compliance with investment rules
  • Prepare legally valid prospectuses, and annual and interim reports for Swiss investment funds
  • Manage contacts with the authorities

Fund structures domiciled in Switzerland

  • Investment funds set up under Swiss law (securities funds, other traditional funds and other alternative funds) in the form of contractual investment funds or a variable capital investment company (SICAV)
  • Investment foundations

Fund structures domiciled in Luxembourg

  • Umbrella funds in the form of a variable capital investment company (SICAV)
  • Funds set up as a contractual funds

Fund administration activities

  • Net asset value (NAV) calculation. The NAV is calculated on each bank working day using the forward-pricing principle.
  • Investment fund accounting. This includes daily posting of all portfolio transactions; the calculation and posting of administration, performance and other charges; and administration of the fund statistics (SNB Swiss National Bank, SIX Swiss Exchange).
  • Compliance. This includes checks on the net asset value and daily monitoring to ensure compliance with the investment rules set out in the investment fund regulations.
  • Authorities. We handle the registration of Swiss and non-Swiss funds with FINMA and reports on compliance with investment rules.
  • Settlement. The transfer agent receives all orders and allocates them to the appropriate investment funds, posts all cash inflows and outflows, and issues confirmations of execution. If requested by customers, the transfer agent can also handle instructions for the delivery of unit certificates. The transfer agent updates the units and/or equities register (containing the names of all registered shareholders) on a daily basis.
  • Reporting. We can produce annual and interim reports in line with your requirements; also monthly factsheets summarising the most important fund information, e.g. price, volume, sector distribution and performance. Quarterly reports contain information about the market situation and market trends.