Deep Field Capital AG - FinSA Client Information

FinSA Client Information

Based on the legal requirements of Art. 8 et seq. of the Financial Services Act (FinSA), we provide you with this information, which gives an overview of Deep Field Capital AG (hereinafter the «financial institution») and its services.

A. Company information

Deep Field Capital AG
Moosmattstrasse 4
6331 Hünenberg
Switzerland
+41 41 511 55 88
info@deepfieldcapital.com

The financial institution was established in 2014.

Supervisory status

The financial institution is authorised by the Swiss Financial Market Supervisory Authority (FINMA) as a portfolio manager within the meaning of Art. 17 of the Financial Institutions Act (FinIA). Ongoing supervision is carried out by the supervisory organisation OSFINcontrol AG, which is authorised by FINMA. The regulatory audit is performed by ASMA Asset Management Audit & Compliance SA.

Swiss Financial Market Supervisory Authority FINMA
Laupenstrasse 27
3003 Bern
www.finma.ch

OSFINcontrol AG
General-Guisan-Strasse 6
6300 Zug
+41 41 767 36 00
info@osfincontrol.ch www.osfincontrol.ch

ASMA Asset Management Audit & Compliance SA
Hohlstrasse 560
8048 Zurich
www.amaudit.ch

Ombudsman

The financial institution is affiliated with the independent ombudsman office «Finanzombudsstelle Schweiz (FINOS)», which is recognised by the Federal Department of Finance. Disputes concerning legal claims between financial services providers and their clients should be settled by an ombudsman's office, if possible, within the framework of a mediation procedure.

Finanzombudsstelle Schweiz (FINOS)
Freigutstrasse 8
8002 Zurich
info@finos.ch www.finos.ch

B. Information on the financial services offered

The financial institution provides portfolio management services to its clients. The financial institution also provides financial services in connection with collective investment schemes. For further information on the collective investment schemes, their general risks, specifications and operating procedures, please refer to the relevant prospectuses and factsheets on this website.

The financial institution does not guarantee any yield or performance of its investment activities. Investment activity can therefore lead to an increase or a decrease in value.

C. Client segmentation

Financial service providers are required to classify their clients according to the law and to comply with the corresponding rules of conduct. FinSA provides for the segments «retail clients», «professional clients» and «institutional clients». The classification of each client is determined within the framework of the cooperation with the financial institution. Subject to certain conditions, clients may change their classification (opting-out / opting-in).

D. Information on risks and costs

General risks associated with transactions in financial instruments
Portfolio management services involve financial risks. Prior to entering into a contract, the financial institution provides all clients with the brochure «Risks Involved in Trading Financial Instruments» published by the Swiss Bankers Association. The brochure is also available at www.swissbanking.ch. Clients may contact their client advisor at any time with further questions.

Risks associated with the services offered
For a description of the risks that may arise from the investment strategy applied to client assets, please refer to the relevant portfolio management agreement.

Costs
A fee is charged for the services rendered, which is usually calculated on the basis of the assets under management and/or on a performance basis. For details, please refer to the relevant portfolio management agreement.

E. Relationships with third parties

In connection with the financial services offered by the financial institution, economic ties with third parties may exist. The acceptance and treatment of payments from third parties are regulated in detail in the respective portfolio management agreements.

F. Market offer considered

The financial institution develops systematic, quantitative trading systems which generate buy and sell signals on the basis of historical market data. Clients may participate in the trading programs by granting the financial institution a limited power of attorney to implement one or more clearly defined trading programs in an account in the name of the client with the client's custodian bank. The financial institution provides programs that trade futures and equities.

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