Graian Capital Management SA

In accordance with art. 8 et seq. of the Swiss Financial Services Act (“FinSA”), the following summary regarding Graian Capital Management SA and its activities is provided:

A. Company Information

Name: Graian Capital Management SA
Address: Via Ferruccio Pelli 1, 6900 Lugano, Switzerland
Phone: +41916301490
E-mail: info@graian.ch
Website: devgraian.creative.ch

Supervisory Authority

Graian Capital Management SA is licensed as a manager of collective assets by the Swiss Financial Market Supervisory Authority (“FINMA”), which also acts as its supervisory authority.

Name: Eidgenössische Finanzmarktaufsicht FINMA
Address: Laupenstrasse 27, 3003 Bern, Switzerland
Phone: +41313279100
E-mail: info@finma.ch
Website: https://www.finma.ch/en/

Audit Firm

Graian Capital Management SA is audited and reviewed by the auditing company PKF Certifica SA both in terms of supervisory law and in terms of obligations.

Name: PKF Certifica SA
Address: Piazza dell’Indipendenza 3, 6900 Lugano
Phone: +41919111111
E-mail: gianluca.ambrogini@pkfcertifica.ch
Website: www.pkfcertifica.ch

Ombudsman

Graian Capital Management SA is affiliated with the independent ombudsman, which is recognized by the Federal Department of Finance. Disputes concerning legal claims between the customer and the financial services provider should be settled by an ombudsman’s office, if possible, within the framework of a mediation procedure.

Name Ombudsman: Swiss Arbitration Center
Address: Boulevard du Théàtre 4, 1204 Geneva
Phone: +41223103731
E-mail: centre@swissarbitration.org
Website: www.swissarbitration.org/Ombuds-FIN

B. Information on the Offered Financial Services

Graian Capital Management SA provides portfolio management and investment advice services for institutional and professional investors as defined in the FinSA.

For further information on the various investment strategies, the investment process, general risks, specifications, and operating procedures, please refer to the relevant information on this Website or reach out to Graian Capital Management SA. Graian Capital Management SA does not guarantee any yield nor performance of investment activities. The investment activity can therefore lead to an appreciation or a depreciation in value.

C. Client Segmentation

Financial service providers are required to classify their customers into a client segmentation according to the law and adhere to the respective code-of-conduct. FinSA provides for «retail customers», «professional customers» and «institutional customers» segments. For each customer, a customer classification is determined within the framework of the cooperation with Graian Capital Management SA. Subject to certain conditions, the customer may change the customer classification by opting in or opting out.

D. Information on General Risks Associated with Financial Instrument Transactions

The portfolio management and investment advisory services involve financial risks. Graian Capital Management SA shall provide all clients with the «Risks associated with Financial Instruments Transactions» brochure prior to the execution of the contract. This brochure can also be found at www.swissbanking.org.

Clients of the Graian Capital Management SA may contact their Account Manager at any time if they have any further questions.

E. Further Disclosures

Further disclosures and information on the risks associated with offered services, costs, relationships with third parties and the market offer considered will be outlined in the course of the client onboarding process to the extent the right to receive such additional information has not been waived.

1. Acceptance of the Terms

Access to, and the use of, the website https://devgraian.creative.ch/ (“Website”) provided by Graian Capital Management SA (CHE-208.420.849), Via Ferruccio Pelli 1, 6900 Lugano, Switzerland (“Graian”) is subject to the present terms of use (hereafter “Terms of Use”).

By accessing and using the Website, you explicitly acknowledge and confirm that you have read, understood and accept these Terms of Use. If you do not understand or do not agree with these Terms of Use, do not use the Website.

These Terms of Use can be changed at any time with immediate effect and without notice. Access to and use of the Website may be restricted or terminated at any time and without notice. Continued access to the Website following any modification in these Terms of Use will constitute your acceptance of the Terms of Use as modified.


2. No Offer or Advice

This Website is for information purposes only and does not constitute an advertisement, a recommendation, an offer or solicitation of an offer for any financial product or service, digital or other asset or currency and may not be construed as such. Any information, description, statements or opinions provided via the Website do not consider individual users circumstances, objectives, or needs. They do not constitute tax, legal, or investment advice and may not be construed as such.

As an investor, you should bear in mind that past performance is not an indicator of future returns on investments (i.e. the value of an investment may fall as well as rise). The maintenance of the invested capital cannot be guaranteed, and investors may not get back the amount invested. The value of an investment may also fluctuate due to changes in rates of foreign exchange.


3. Legal Restrictions / Eligibility

The information contained within the Website is addressed exclusively to professional and institutional clients in accordance with art. 4 and 5 of the Swiss Financial Services Act (“FinSA”). Access is therefore forbidden to any other individual or legal entity and Graian declines all responsibility in case of unauthorised access.

The Website is not directed to, or intended for distribution to or use by, any individual or legal entity who is a citizen or resident of, or located in, any locality, state, country or other jurisdiction where such distribution, publication, availability or use would be contrary to law or regulation or is prohibited without obtaining the necessary licenses or authorizations and such licenses or authorisations have not been obtained by Graian. Individuals and legal entities in such jurisdictions must not access or use the Website. In particular, the financial services described on this Website are not being offered in the United States or to US persons.

The information, descriptions, statements and opinions on the Website are descriptive with regard to Graian and the services described may not be available to or suitable for all users. The fact that a user accesses the Website does not make him a client or eligible to be a client of Graian.


4. Disclaimer of Warranties

The access and use of the Website is made at your own risk. You understand and agree that the Website is provided on an “as is” and “as available” basis and that we expressly disclaim all warranties or conditions of any kind, whether express, implied, statutory or otherwise. All examples of financial strategies/investments set out on the Website are for illustrative purposes only. In particular, no assurance can be given that any forecast or target performance will be achieved, and past performance is no guarantee of current or future returns.

Graian does not provide any warranty or representation with respect to the completeness, security, reliability, quality, accuracy, or availability of the Website. Without limiting the foregoing, Graian does not represent or warrant that the Website, its content, or any services obtained through the Website will be accurate, reliable, error-free, or uninterrupted, that defects will be corrected, that the Website or the server that makes it available are free of viruses or other harmful components, or that the Website or any services or items obtained through the Website will otherwise meet your needs or expectations.


5. Limitation of Liability

To the fullest extent permitted by law, in no event shall Graian, its affiliates, or their licensors, service providers, employees, agents, officers, or directors be liable for damages of any kind, under any legal theory, arising out of or in connection with your visit, access, use, or inability to use, the Website, any websites linked to it, any content on the Website or such other websites, including any direct, indirect, special, incidental, consequential, or punitive damages, including but not limited to, personal injury, pain and suffering, emotional distress, loss of revenue, loss of profits, loss of business or anticipated savings, loss of use, loss of goodwill, loss of data, and whether caused by tort (including negligence), breach of contract, or otherwise, even if foreseeable.


6. Indemnification

You agree to defend, indemnify, and hold harmless, Graian, their affiliates, licensors, and service providers, and their respective officers, directors, employees, contractors, agents, licensors, suppliers, successors, and assigns from and against any third-party claims, liabilities, damages, judgments, awards, losses, costs, expenses, or fees (including reasonable attorneys’ fees) arising out of or relating to your violation of these Terms of Use or your use of the Website.


7. Links to other Websites

The Website may contain third-party content and links to third-party websites. Links to third-party websites provided by the Website are provided for the purposes of information and convenience. Graian has absolutely no influence over these third-party websites. For this reason, Graian assumes no responsibility for the correctness, quality, completeness and legality of such websites’ content or for any offers, products and services which they may contain. The responsibility for this lies with the operator of the websites accessed via the links. Graian cannot be held liable for this. Accessing these websites via such links is at your own risk.


8. Intellectual Property Rights

The Website and its entire contents, features, and functionality (including but not limited to all information, software, text, displays, images, video, and audio, and the design, selection, and arrangement thereof), are owned by Graian, their licensors, or other providers of such material and are protected by Swiss and international copyright, trademark, patent, trade secret, and other intellectual property or proprietary rights laws. You may not reproduce, distribute, modify, create derivative works of, publicly display, publicly perform, republish, download, store, or transmit any of the material on the Website without Graian’s prior written consent. The name, the logo, and all associated names, logos, product and service names, designs, and slogans of Graian are trademarks of Graian or its affiliates or licensors. You may not use such marks without Graian’s prior written permission. All other names, logos, product and service names, designs, and slogans on the Website are the trademarks of their respective owners. Under no circumstances does your use of the Website grant you any ownership rights or other interest in any such marks or content on the Website.


9. Applicable Law and Place of Jurisdiction

These Terms of Use as well as the use of the Website shall be governed by and construed in accordance with the substantive laws of Switzerland. The application of the United Nations Convention on Contracts for the International Sale of Goods shall be excluded.

Any dispute arising out of or in conjunction with these Terms shall be submitted to the exclusive jurisdiction of the courts of the city of Lugano, Switzerland. Graian nevertheless reserves the right to initiate proceedings before the competent court at your place of residence or domicile or any other competent authority.

1. Privacy Policy objectives

The aim of this data protection policy is to describe how Graian Capital Management SA (“Graian”) collects and processes personal data and information that it may receive and store in relation to its business activities (“the Policy”).

2. What is Personal Data and Personal Data processing

Personal data refers to information that directly or indirectly identifies a natural person.
Data processing is any operation performed with or without the aid of computer systems in relation to personal data, including, without limitation, collection, recording, organization, storage, alteration, retrieval, use, transmission or any other form of making available, erasure or destruction.
In general, Graian does not collect or process data except for the purposes of maintaining ongoing business relationships with its clients (“Client Relationships”) or complying with legal or regulatory requirements. Graian does not collect or process sensitive personal data, such as information regarding health, ethnicity, religious beliefs, or political opinions.

The types of personal data that Graian is likely to collect and process to maintain its ongoing Client Relationships:
• personal information, such as name, date of birth, address, telephone or IP number
• financial information
• tax information (including TIN, tax number, tax residence)
• professional information (such as CV and occupation)
• any other information as required by applicable KYC standards
• data collected through cookies, as described below.

3. How personal data is collected and processed

Graian collects personal data:

• directly from its Client Relationships through meetings or by means of documents sent to us
• indirectly, though one of our service providers or through external sources such as publicly accessible websites.

4. Legal framework

Applicable legal framework is the Swiss Federal Act on Data Protection (FADP).
Depending on the objective, personal data processing is based on one of the following legal grounds:

• data processing necessary for providing services requested from Graian, including pre-contractual measures and contract execution, based on Graian’s overriding legitimate interests (Art. 31(2) FADP)
• processing data for responding to the request sent by the user in the context of establishing or maintaining Client Relationships: consent of the data subject (Art. 6(7) and Art. 31(1) FADP)
• processing personal data contained in the CVs: overriding interest of the Data Controller, particularly in fulfilling activities necessary for pre-contractual activities at the request of the data subject (Art. 31(2) FADP)
• processing browsing data on this website for administrative or security purposes, to assert or defend a right in judicial proceedings: legitimate interest of the Data Controller (Art. 31(2) FADP) without prejudicing the interests or the rights of the user
• processing data for legal or regulatory purposes: legal obligation (Art. 31(1) FADP).

5. Personal information provided by you about other people

If you disclose personal data of another person, you must ensure that you are authorized to do so and that Graian may collect and use it, as specified in this Policy, without having to take additional measures. You must ensure that another person has been informed of Graian’s identity and this Policy, the purposes of data collection and its practices regarding the processing of personal data.

6. Personal data transfer

Graian may transfer personal data or make it accessible to the following categories of recipients, where necessary for its business operations or as required by law:

• competent authorities (a court, a national and/or international regulatory agency or authority, a stock exchange), when Graian is required to do so by virtue of the applicable law or regulations, or at their request
• auditors, including legal advisors
• third parties involved in a transaction or provision of a service (for instance, counterparties, banks, exchanges and trading platforms, payment system operators, brokers, custodians and other financial market actors)
• third parties who process personal data on our behalf, such as IT systems and internet services providers, banks and payment service providers, insurance companies.

Graian undertakes not to transfer any personal data to third parties other than to those mentioned above without the data subject’s consent unless required by applicable laws and regulations or Graian’s contractual obligations with clients.
Data transfer may involve transferring and storing user information in a country other than their own. Your personal data, in addition to being maintained in Switzerland, may be transferred to and stored in countries of the European Union and/or European Economic Area that have the same data protection laws as the country where the information was initially provided.

7. Personal data retention

In accordance with art. 6 para. 4 FADP, we will retain your personal data based on the principle of the necessity of processing for the period necessary to achieve the above-mentioned purposes:

• for browsing data: for the period related to the browsing session
• regarding personal data related to contract management: for the period strictly necessary to fulfil the contract and in no event exceeding 10 years from the completion of contractual obligations, or such period as required by law for proving compliance with legal or tax obligations, or the period necessary to enable us to protect its rights in judicial, administrative, or other proceedings
• regarding personal data provided in user requests: for the time necessary to fulfil the request and in any case not exceeding 10 years from such request or, if earlier, until the data subject revokes consent
• regarding personal data contained in the CVs: for a period not exceeding 45 days from the collection

Notwithstanding the above, we will retain the processed data for the entire duration of any pre-trial and/or judicial proceedings, until the expiry of the terms for the exercise of judicial protections and/or actions for challenging. Any aggregated data derived from or embedded in your personal information after you have updated or deleted it may be used, but not in a way that personally identifies you. Once the retention period has expired, personal information will be deleted. Therefore, the right of access, the right to erasure, the right to rectification, and the right to data portability cannot be applied after the expiration of the retention period.

8. Data protection measures

Graian personnel who have access to personal data is required to comply with internal rules regarding the processing of personal data to protect and ensure their confidentiality. We implemented technical and organizational measures to protect personal data from destruction, loss, alteration, unauthorized access, disclosure, or any other form of unlawful processing.

9. User rights

As provided by FADP you have certain rights regarding personal data protection, and we aim to take reasonable measures to allow you to modify or limit the use of your personal data or delete it entirely to the extent possible. If you wish to be informed about what information we hold about you and if you want it to be removed from our IT systems, please contact us.
In general, the user has the following rights regarding personal data protection:

• withdraw consent to the processing of your personal data (if previously given) provided that such withdrawal does not affect the lawfulness of processing carried out prior to such withdrawal
• obtain confirmation as to whether or not personal data concerning you is being processed and, if so, access personal data or the information about processing, such as: purpose of processing, types of personal data processed, whom it may have been or will be communicated, data retention period (art. 25 FADP).
• request to rectify and/or complete the incomplete personal data (art. 32 para. 1 and 3 FADP)
• request erasure of personal data (art. 32 para. 2 lett. c FADP)
• receive personal data in a structured and readable format where the processing is based on consent and carried out by automated means (art. 28 FADP).
• object to processing at any time for reasons related to the user’s particular situation (art. 30 para. 2 lett. B and para. 3 FADP) unless there are legitimate grounds to continue data processing
• obtain restriction of processing where the accuracy of personal data is contested (for the period necessary to verify the accuracy of personal data)
• file a complaint with the Federal Data Protection and Information Commissioner (FDPIC).

10. Use of cookies

Cookies are small text files stored on your device when visiting this website, which contain certain browsing data, such as language preferences, and/or analytics of how you use the site, such as pages visited.
Graian uses cookies to simplify your use of the website and personalize user experience. Graian may also use the services of Google Analytics to manage and improve its website, in particular by analyzing the usage statistics.
You can set your cookie preferences on our website and/or via your web browser. However, refusal to allow cookies may lead to certain parts of the website not functioning properly. For further information see http://www.allaboutcookies.org.

11. Data Controller

The Data Controller is Graian Capital Management SA represented by persons with signing authority in accordance with the entries in the cantonal commercial register, herein also referred to as “Graian” or “Data Controller”.
To contact Data Controller, please email: dataprotection@devgraian.creative.ch