Regulatory Supervision

DMS Capital AG is a member firm of OAR-G Organisme d’Autorégulation des Gérants de Patrimoine ("OAR-G") and as such is monitored by OAR-G in its capacity as an SRO (Self Regulatory Organization) officially recognized by the Swiss Financial Market Supervisory Authority (FINMA), with dual supervision pursuant to (1) independent asset management and; (2) the Anti-Money Laundering Act (AMLA). The rules of professional conduct of OAR-G regulate the content of the asset management agreement and how it must be implemented (asset manager's duty of trust, information and due diligence towards the customer and regulation of the asset manager's compensation), with due attention aid to the protection of investors.