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Corporate Governance

The Rieter Fischer Partners AG fully complies with regulatory requirements provided by the Swiss Financial Market Authority (FINMA) for asset managers of collective investments, and it further complies with the standards of conduct of the Swiss Association of Asset Managers (VSV) as well as the Swiss Funds Association (SFAMA). The principles of corporate govern-ance of the Rieter Fischer Partners AG can be summarized as follows:

  • The board of directors of the Rieter Fischer Partners AG is charged with the overall management, supervision, and control of the Company. The board of directors has delegated the operational management to management, which takes care of the day-to-day business of the Company. The responsibilities of the board of directors and management as well as the delineation of competencies are regulated in the organizational regulations of the Company, which have been reviewed and approved by FINMA.
  • The Rieter Fischer Partners AG was one of the first asset management companies in Switzerland receiving permits by FINMA to commence activities as asset manager of collective investments. Since then, FINMA has monitored the activities of Rieter Fischer Partners AG in the area of asset management of collective investments as well as in the area of money laundering prevention. The PricewaterhouseCoopers AG functions as the audit company charged with supervising compliance with regulatory and stock corporation provisions by the Rieter Fischer Partners AG.
  • The Rieter Fischer Partners AG has internal standards of conduct, which ensure employee compliance with regulatory, information, and due diligence obligations in the area of asset investment. The internal standards of conduct were reviewed by FINMA and comply with legal and industry-specific requirements. In addition to internal standards of conduct, the Rieter Fischer Partners AG possesses a detailed system of directives and resulting internal control system, which ensures the recognition and monitoring of risks.
  • The Rieter Fischer Partners AG has money laundering regulationsthat were reviewed by the Swiss Financial Market Authority and are regularly adjusted to the regulatory requirements in the area of money laundering prevention. The employee responsible for money laundering prevention acts independently and decides autonomously if and when a money laundering notification should occur.
  • The employee responsible for compliance at the Rieter Fischer Partners AG regularly monitors employee compliance with regulatory provisions as well as internal regulations. The risk manager of the Rieter Fischer Partners AG is charged with the risk management of the Company as well as regular control of the risk environment, which is periodically reported to the board of directors. Both the compliance and the risk manager of the Rieter Fischer Partners AG have the requisite qualifications and experience to ful-fill this role pursuant to regulatory requirements and independently have access to all relevant information.
  • Since its establishment, the Rieter Fischer Partners AG has been a member of the Swiss Association of Asset Managers (VSV). The internal regulations of the Rieter Fischer Partners AG comply with the standards of this industry association.
  • The knowledge of and consistent compliance with legal and regulatory requirements as well as internal directives and processes are ensured by regular internal training of Rieter Fischer Partners AG employees.