Custody and Asset Security
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Are client investment assets fully segregated and registered in the client’s name?
Yes. Assets are held with the custodian bank and are registered and accounted for in the client’s name, according to applicable practices and standards.
Do you have power of attorney on client accounts? If yes, is it limited to order execution only?
Yes. LMP Finance Suisse SA operates, where applicable, based on powers of attorney granted by the client, strictly limited to order execution and mandate management, without any authority to act outside contractual instructions.
Corporate Structure and Legal Framework
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Are you currently authorized by FINMA under the Financial Institutions Act (FinIA)? If so, can you provide a copy or reference of the authorization?
Yes. LMP Finance Suisse SA is authorized and supervised under Swiss law. Upon request, we can provide the relevant documentation and references.
Are you affiliated with a self-regulatory organization (e.g., VQF, OSFIN)? If yes, which one?
Yes. In addition to the regulatory framework, the company is a member of the Swiss Association of Asset Managers (ASG), the main professional association for independent asset managers in Switzerland.
Who is your statutory auditor and when was the last audit conducted?
Audits are conducted annually by AML Consulting.
Investment Philosophy and Process
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What is your investment philosophy? (e.g., active or passive management, thematic or fundamental approach) Do you use proprietary strategies, model portfolios, or customized allocations?
The dynamic portfolio forms the basis of our management approach and is applied progressively from the conservative line up to the aggressive dynamic line, reaching 100% in the fully dynamic portfolio. Remaining portions not invested in this way are allocated to the bond market, typically with short- to medium-duration securities, keeping risk substantially limited.
What risk control and management tools do you use?
We use a structured risk control and monitoring framework, including the Guardian platform, supporting measurement, limits, alerts, and daily reporting.
Do you offer discretionary mandates, advisory services, or both?
We offer both discretionary and advisory mandates, depending on the client’s preferences and desired level of delegation.
What is your investment philosophy in volatile or declining markets? How do you protect capital when it matters most?
Mandates are managed with a flexible and prudent approach: there is no obligation to remain fully invested. During certain market phases, exposure may be reduced or temporarily parked in cash or money market instruments, if appropriate for the client’s profile and objectives. This approach was applied, for example, in 2022.
Fees and Conflicts of Interest
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What is your full fee structure? (fixed, performance-based, % of assets under management)
Fees include a management fee and, where contractually agreed, a performance fee (High Water Mark without reset), transparently defined in the mandate and pre-contractual documentation.
How do you manage and communicate potential conflicts of interest?
The company operates with a conflict-free model and applies internal controls and procedures to identify, prevent, and manage potential conflicts, with appropriate disclosure to clients in line with applicable rules.
Clientele and Track Record
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Who is your typical client? (e.g., HNWI, families, foundations)
We primarily serve HNWIs, families, foundations, and companies with needs for wealth management, planning, and risk control.
What experience do you have with Italian clients transferring assets to Switzerland?
The company has over 30 years of experience supporting Italian and international clients with cross-border needs, in coordination with qualified professionals.
How do you assist clients with tax reporting in Switzerland?
We provide dedicated reporting, tailored to holding periods and reporting requirements in relevant jurisdictions, coordinating with the client’s advisors where appropriate.
Operational Structure and Business Continuity
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Do you have a business continuity plan (BCP) in case of emergencies or disruptions?
Yes. The company maintains a Business Continuity Plan (BCP) and continuity/recovery measures, tested and updated periodically.
Do you use external consultants for legal or compliance matters?
Yes. Where necessary, the company engages external specialists for legal and compliance matters to strengthen controls and follow best practices.
Transparency and Communication
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How often do you provide reports to clients?
Reporting is typically monthly or quarterly, depending on the case; alternatively, reports can be provided on request or according to client-agreed frequencies.
Is there a digital platform to monitor the portfolio?
Yes. Clients can monitor their portfolios via the custodian bank’s online portals, using the credentials and functions provided by the bank.