Complaint Handling
Global Strategic Advisory Group AG is an independent asset manager (Vermögensverwalter) authorised and supervised under the Swiss Financial Institutions Act (FinIA / FINIG). We are subject to prudential supervision by AOOS – Schweizerische Aktiengesellschaft für Aufsicht, which is itself recognised and overseen by the Swiss Financial Market Supervisory Authority (FINMA).
What Is a Complaint?
A complaint is any expression of dissatisfaction – whether written or verbal – by a client or prospective client regarding a financial service provided by GSAG, including concerns about advice received, investment decisions taken, costs charged or the way in which you have been treated.
Step 1 - Submit Your Complaint to GSAG
You may submit a complaint by any of the following means:
In writing (preferred):
Global Strategic Advisory Group AG
- Bahnhofstrasse 22, Paradeplatz, 8001, Switzerland
- Contact us
- www.advisory-group.one
To help us process your complaint efficiently, please include: your full name and contact details; a clear description of the matter; the relevant dates and any reference numbers; any supporting documents; and the outcome you are seeking.
Step 2 - How We Handle Your Complaint
All complaints received by GSAG are handled exclusively by the Compliance Function (SwissComply AG, acting as GSAG’s outsourced compliance and risk management provider). No other employee is authorised to handle a complaint independently.
Upon receipt of your complaint, the Compliance Function will:
- Acknowledge your complaint promptly.
- Investigate the matter independently and thoroughly, reviewing all relevant documentation and gathering information from the employees concerned.
- Propose a resolution to the Executive Management based on its findings.
- Communicate the outcome to you in writing within a reasonable period of time.
The Compliance Function monitors that the Executive Management handles the complaint appropriately and documents all findings, measures taken and the final outcome in writing. All complaint-related documentation is retained in accordance with applicable record-keeping requirements.
Step 3 - Escalation to FINOS
If you are not satisfied with the outcome of GSAG’s internal complaint handling, or if your complaint has not been resolved within a reasonable timeframe, you have the right to submit your case to the recognised ombudsman’s office to which GSAG is affiliated:
Finanzombudsstelle Schweiz (FINOS) – Talstrasse 20, CH-8001 Zurich, Switzerland (www.finos.ch)
FINOS offers a neutral, independent and free-of-charge mediation service for disputes between clients and financial service providers. You may contact FINOS at any time – including before submitting a complaint to us. Participation in FINOS mediation proceedings does not affect your right to take legal action before the competent Swiss courts.
Important Notes
- GSAG will not charge you any fees for submitting or processing a complaint.
- The Compliance Function reports on complaint handling to the Executive Management and to the Board of Directors on an annual basis.
- GSAG continuously monitors complaint trends to improve service quality.