Transfero Customer Flow

This flow refers to the Asset Management client

FIRST CONTACT WITH TRANSFERO SWISS AG

PRESENTATION OF INVESTMENT SLIDES

AML Check

REGISTRATION ON THE PLATFORM

VALIDATION OF REGISTRATION DATA

KYC Check

Data Privacy Storage/ Disclosure

INVESTMENT REPORTS

PERIODIC MEETINGS

AML Monitoring

1. FIRST CONTACT WITH TRANSFERO SWISS AG

We prioritize the direct relationship with the investors of our products. Due to the alternative nature of the products we offer, we consider it essential to have a first face-to-face meeting for the investor to understand the risk factors and characteristics of the chosen investment.

2. PRESENTATION OF INVESTMENT SLIDES

Our slides are the official consulting material for the investor to check the characteristics of the products and observe the tracking record of these strategies. Through the slides it is also possible to perform an analysis between the risk-return ratio between the available investments.

3. REGISTRATION ON THE PLATFORM

The investor may only become a Transfero customer after submitting the necessary documents for KYC/AML checking and validation.

KYC (Know Your Customer): is a process in which we will validate the customer’s personal data, verifying that this customer does not violate any policy/rule stipulated by Transfero (privacy policy, valid identification documents, type of transactions allowed, risk management, etc.), in addition to keeping updated all records of this customer in our database.

AML (Anti-Money Laundering) or PLD (Anti-Money Laundering Prevention): is a set of practices and procedures to avoid involvement with the generation of income by illegal means.

4. VALIDATION OF REGISTRATION DATA

The documents submitted will be validated by our Compliance team, being subjected to various checks. Some of these checks may be manual depending on the type of client. During this process the Compliance team may contact the client and request other documents.

5. Data Privacy Storage/ Disclosure

We will only process the personal customer data which we collect as part of our due diligence process for the purposes of preventing money laundering and terrorist financing based on contracts and legal obligations. We will not use customer’s data for comercial purposes. We will only exchange client data with national and international authorities if we are obliged to do so on a legal basis. Moreover, we do not sell or transfer client data to any third parties.

6. INVESTMENT REPORTS

The investors will be able to track the statement of their investments and updated position of their wallets by accessing TSAG Performance, using his access data (login and password).

7. PERIODIC MEETINGS

We encourage the holding of periodic meetings between investors and the commercial and investment team to present the results and for the investors to have a holistic view of their investments and market prospects.

8. AML Monitoring

We monitor the business relationship on an ongoing basis to ensure transactions are consistent with the profile of the customer, ensuring that verification of their identity is kept up to date and reviewing sanction lists.

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