© ROC Investment Ltd, Rämistrasse 31, 8001 Zurich, Switzerland, +41(0)442091555
PRUDENTIAL SUPERVISION
ROC is supervised by the following Swiss supervisory organization: AOOS, Schweizerische
Aktiengesellschaft für Aufsicht (www.aoos.ch), Clausiusstrasse 50, 8006 Zurich. AOOS
is a Swiss supervisory organization for asset managers authorized and regulated by
Swiss Financial Market Supervisory Authority FINMA in Bern (www.finma.ch) in accordance
with the Financial Market Supervision Act.
Until now, ROC was licensed as an independent asset manager by the industry association
VSV Verband Schweizerischer Vermögensverwalter (www.vsv-asg.ch). Since November 2020,
ROC is affiliated to and supervised by the above mentioned supervisory organization
AOOS. According to the new Financial Institutions Act (FINIG), asset managers are
also subject to a new licensing requirement. At the end of October 2022, FINMA granted
ROC Investment AG a license as asset manager pursuant to Art. 2 para. 1 lit. a FINIG.
Furthermore, ROC is a member of the Swiss Finance Institute (www.swissfinanceinstitute.ch)
and the Swiss Financial Analysts Association (www.sfaa.ch) and is following their
best practice standards.
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