Client information – FINSA

Federal Financial Services Act (FinSA)

The Federal Financial Services Act (FinSA) came into force on 1 January 2020. It aims to establish comparable conditions for financial service providers and to improve the protection of their clients by defining the requirements for faithful, diligent and transparent service provision.

In accordance with the legal conditions of Art. 8 et seq. of the Financial Services Act, Lion’s Paw Ltd (hereinafter referred to as “Lion’s Paw”) would like to provide you with this information sheet, which is also available on our website, to explain the main behavioural and organisational measures introduced.

A. COMPANY INFORMATION

Lion’s Paw is a Global Wealth Advisory Company, with particular focus on management of financial risks and costs associated with their clients’ estate.

Lion’s Paw offers one point of contact for Wealth Advisory, Investment Management, Consolidated Financial Reporting and Private Equity with a strong commitment to values such as partnership and fairness combined with know-how and passion.

Contact details:

• Lion’s Paw Ltd., Rennweg 57, 8001 Zurich, Switzerland. Phone: +41 44 227 10 00,
  E-mail: global@lionspaw.ch, Website: www.lionspaw.ch

Supervisory Authority and Supervisory Organization

Lion’s Paw is an asset management company (Vermögensverwalter) licensed by the Swiss Financial Market Supervisory Authority FINMA and is subject to supervision by the Swiss Supervisory Organization FINcontrol Suisse Ltd.

Contact details:

• Swiss Financial Market Supervisory Authority FINMA, Laupenstrasse 27, 3003 Bern, Switzerland. Phone: +41 31 327 91 00, E-mail: info@finma.ch, Website: www.finma.ch

• OSFINcontrol Ltd, General-Guisan-Strasse 6, 6300 Zug, Switzerland. Phone: +41 41 767 36 00, E-mail: info@osfincontrol.ch, Website: www.osfincontrol.ch

Ombudsman

Lion’s Paw is affiliated to ‘Ombud Finance Switzerland (OFS)’, an ombuds office for financial service providers which can investigate complaints and mediate fair settlements between the client and Lion’s Paw in case of conflict.

Contact details:

• Ombud Finance Switzerland (OFS), 16 Boulevard des Tranchées, 1206 Geneva, Switzerland. Email: contact@ombudfinance.ch, Phone: +41 22 808 04 51, Website: https://ombudfinance.ch

B. FINANCIAL SERVICES OFFERING

Lion’s Paw provides to its clients Asset Management and Advisory services.

Asset Management Mandate

Focused on management of assets according to a pre-defined strategy and considering the risk profile of the client, the reference currency and possible restrictions given by the client. Lion’s Paw aims to meet client’s needs and respectively customise investment solutions efficiently using financial instruments and continuously monitoring portfolios to enhance risk-adjusted performance. Customization may be related to any type of client’s profiles from the most conservative to the most sophisticated and dynamic.

Advisory Agreement

Financial Advisory is provided to the clients who would like to maintain their own investment decision-making power but rely on an expert with whom they can implement a coherent and efficient investment strategy. The client is assisted in making the choice that best suits his/her personal and financial situation, experience and risk appetite.

C. RISKS & COSTS

Risks Involved in Trading Financial Instruments

The investment advisory and asset management services involve financial risks. Detailed information is given by Lion’s Paw to all clients. A brochure «Risks Involved in Trading Financial Instruments» is provided to all clients prior to the execution of the contract.

Risks associated with the investment services offered

For a description of the various risks that may arise from the investment portfolio, the Clients can refer to the relevant investment advisory or asset management contracts.

Clients can contact Lion’s Paw at any time if they have any further questions.

Information on costs

Services provided by Lion’s Paw are subject to fees. Such fees can be calculated on the basis of assets under management or under advisory as well as on the basis of performance achieved or as flat annual fees. In addition, potential compensation for services provided to the clients, received by Lion’s Paw from third parties, in general forms part of the remuneration of Lion’s Paw by its clients. Fees are in general charged to the account of the client pro rata on a quarterly base.

For more detailed information, please refer to the investment advisory or asset management contracts and the price list.

D. CLIENT SEGMENTATION

Lion’s Paw as financial services provider, is obliged to assign their clients to a legally defined category. The Art. 4 FinSA refers to the segments of private clients, professional clients, and institutional clients.

According to Art. 5 para. 1 and 2 FinSA, the client may choose a different classification. For detailed information it is suggested to consult mentioned Article and Risk Profile, Client Profile/Questionnaire documents presented as part of the relevant investment advisory or asset management contracts.

E. CONFLICTS OF INTEREST AND THIRD-PARTY COMPENSATION

Lion’s Paw offers diversified financial services to a wide range of clients, this may lead to situations where Lion’s Paw or connected persons (e.g. a member of the board of directors, a member of the general management, a representative of the Manager) may have a material interest in a transaction with or for the client or where a conflict of interest may arise between the interests of the client and those of other clients, counterparties or those of the Lion’s Paw.

Lion’s Paw has taken expedient organisational measures in order to prevent conflicts of interest and to build long standing relationship with the client.

Lion’s Paw in accordance with the investment strategy, may invest part of the assets in products issued by third parties and for which Lion’s Paw has taken or may take the role of advisor or consultant (e.g. Actively Managed Certificate), receiving a fee for this activity. The terms of each product, including the costs and the fee received by the Lion’s Paw are set out in the relevant prospectus or similar document, the current version of which is delivered by the Manager to the client when investing in such products.

Lion’s Paw may receive compensation from third parties for the placement of certain financial instruments, for securities and foreign exchange trading and other transactions carried out under the mandate, or other monetary benefits (e.g. training, financial analysis and research services). The treatment of such benefits is regulated in the relevant investment advisory or asset management contracts.

Lion’s Paw employees are obliged to disclose conflicts of interest.

F. REPORTING

At the client’s request but at least once per year Lion’s Paw has to render account of his activity as asset manager to the client. Lion’s Paw assumes reporting based on the standards prevalent in the asset management industry:

• a list of the securities deposited on the banking relationship and their current prices on the reference date;
• the development of the performance of the portfolio during the period under review;

The all above information is provided as requested by the Federal Financial Services Act, it does not constitute a complete legal agreement with the client and cannot be considered an offer or solicitation.

Zurich, 29.01.2026