SYQUANT Capital - Disclaimer

Please read the following information. They specify the legal and regulatory framework relating to the consultation of the SYQUANT Capital Website.

This website is reserved for professional investors as defined by Directive 2004/39/EC (MiFID). It is not intended for retail investors. In accordance with the MIFID EU directive an investor can be classified as a professional investor if his experience in the financial industry, his knowledge of financial products and financial markets is sufficient to make his own risk assessment and investment decisions. Non-professional investors who wish to obtain information on Syquant Capital’s funds are invited to consult their financial advisor.

This is an informational website designed to present the management activity of the SYQUANT Capital portfolio, as well as key information about its mutual funds. This section does not constitute and is not part of any offer to issue or sell, it does not constitute a solicitation of any offer to subscribe or purchase, nor any investment. This section has been prepared for informational purposes only and is a promotional document according with the AMF rules. It has no contractual value.
The information and opinions contained in this document are for background purposes only, and do not purport to be full or complete therefore no reliance should be placed on them.
SYQUANT Capital believes that the source of this information is reliable however it gives no guarantee, representation, warranty or undertaking, either expressly or implicitly, and accepts no liability for, the accuracy, validity, timelessness, merchantability or completeness of any information or data (whether prepared by SYQUANT Capital or by third party) for any particular purpose or use or that the information or data will be free from error.
SYQUANT Capital declines all and any responsibility for use of this information and any possible consequences.

The products presented on this website may be subject to restrictions with respect to certain persons and / or countries. The funds should only be subscribed or purchased in countries where the funds have been either i) registered by the local regulatory financial authorities or ii) where the local financial regulator has authorized a professional investor to invest in this type of UCITS fund without an explicit registration with the local financial regulator. Each investor, including professional investor, should consult their legal counsel prior to any investment.
This website is not intended for citizens or residents of the United States of America, or for US persons as defined by Regulation S of the Securities Act of 1933. None of the Funds presented here may be offered or sold, directly or indirectly, to the United States of America, to residents or citizens of the United States of America, or to US persons.

Certain product presented on this site may carry significant risks. Investment may not be suitable for all investors and is intended for sophisticated investors who have fully understood the risks associated with such an investment and can accept a substantial or complete loss of their investment.
Each prospective investor should review before any investment, the prospectus, the KIIDs (Key Investor Information Document) of the funds, the regulatory documents approved by the Authority of the Financial Markets (AMF) or by the Supervisory Commission of the Financial Sector (CSSF) available on this site.
Past performance is not a guarantee of future results and no assurance can be given that product(s) described herein will yield favorable investment results or that the Fund’s investment objectives will be achieved or that the investor will receive a return of all or part of their investment. However, SYQUANT Capital shall be liable for any direct or indirect damages incurred by anyone on the basis of the information provided.

It is reminded that the tax treatment related to the investment will vary according to country and type of investor. Prior to subscribing in units or shares of a mutual fund, including those mentioned on the website, any investor should consult his tax consultant for any tax implication and/or tax treatment of income or capital gains such units or shares. Under no circumstances can SYQUANT Capital be held responsible for any potential tax implication, tax treatments etc. With respect to the investment within one or several of its mutual funds.

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SUMMARY
1. Best Selection & Best Execution policy
2. Conflicts of Interests policy
3. Exercice of Voting rights police
4. 2016 report on intermediary fees
5. Customer complaints management
6. Integration of ESG criteria
7. Compensation Policy


Best Selection & Best Execution policy



All investment services providers should comply with the obligation to act in the best interest of their clients when executing orders resulting from investment decisions related to portfolio management.

To this end, in its capacity as a fund management company, SYQUANT Capital is required to take all reasonable measures to select the intermediaries to which orders are transmitted for execution (brokers and financial counterparties) and whose execution policies guarantee the best possible result when executing orders sent on behalf of the funds it manages.

In accordance with the regulations, SYQUANT Capital has put in place an Execution Policy. This Execution Policy notably requires that the orders should be registered and treated in a timely and accurate manner, with regard to market conditions.

This Execution Policy is based on:
- a standardized process for the selection of brokers and financial counterparties;
- an analysis of the reporting provided by the brokers and financial counterparties.

SYQUANT Capital uses a multi-criteria approach to select intermediaries. The criteria applied are both quantitative and qualitative and depend on the markets for which the intermediaries provide services, in terms of geographical coverage (global, pan-European or local intermediaries) and financial instruments traded (intermediaries specialized in the equity, debt instruments, convertible or derivatives markets).

Every criterion is subject to an assessment, which is allocated a weighting coefficient, thereby enabling an overall rating to be attributed. The analysis criteria notably cover the financial stability of the counterparty, quality and cost of execution, financing costs and global quality of the operational setup.

The intermediaries’ ratings are updated every year. Based on this, the list of selected intermediaries is also reviewed annually.

The Selection and Rating policy for intermediaries is available upon request at:
RCCI@syquant.com


Conflicts of Interests policy



In accordance with the regulations, SYQUANT Capital has established a conflicts of interest policy and takes all reasonable measures to identify conflicts of interest that may arise in the course of providing its business activities.

As a result of its size and the nature of its activities, a mapping of conflicts of interest has been drawn up. This mapping identifies the circumstances that give rise or may give rise to a conflict of interest.

It makes it possible for SYQUANT Capital to identify and, if necessary, fairly manage any conflicts of interest that may arise in the course of carrying out its services, between its own interests and those of its clients or between the interests of a number of clients.

In cases where SYQUANT Capital would consider that the deployed measures are not sufficient to guaranty, with a reasonable certainty that the risk of prejudice for its clients can be avoided, the company would inform in writing the affected customers about the nature or the source of the conflict of interests in order for these clients to be able to take their decision knowingly.

Additional information on our Conflicts of Interest Policy can be obtained from the management company upon request by Email to: RCCI@syquant.com


Exercice of Voting rights policy


In accordance with the regulation, SYQUANT Capital has established and maintains active a process to govern its voting policy.

Principles
SYQUANT Capital’s voting policy aims to focus on the exclusive interests of the clients investing in all the UCITS funds under management.

As a general principle, SYQUANT Capital does exercise the voting rights it is entitled to only under the circumstances where it considers that one resolution of the general meeting contributes to the interest and the protection of its clients.

As per the nature itself of the strategies implemented in the range of its funds, the management company only concentrates on general meeting’s resolutions which imply capital modification and merger proposals.

As a general rule, SYQUANT Capital votes in favor of any resolution aiming to validate any merger proposal or capital operation. In practice the Management Company has set a voting rights threshold of 3%, at which point it considers that it has an active role to play in this type of decision. Under this threshold SGP authorizes itself to exercise its voting rights whenever it considers that its vote may be decisive.

Operating process
The management team is in charge of the vote’s decision. It analyses and instructs all resolutions’s votes. General meeting attendance monitoring is also performed by the management team. Exercise of the voting rights is mainly processed by regular mail.

Conflicts of interest prevention
Internal compliance code and Conflict of interests management policy define, for all employees, the cases where a conflict of interests situation may arise.

Information and advertising
A report is published once a year, within 4 months of the end of each financial year (in accordance with article 314-101 of the RG AMF) and available here. This report along with the full version of the procedure defining the Voting Policy is also available at the management company’s office or upon request at: RCCI@syquant.com


2016 report on intermediary fees



In accordance with article 314-82 of the RG AMF, where the management company has recourse to order execution and investment decision support services and the intermediary fees for the prior financial year exceeded EUR 500,000, it draws up a document entitled « Report on intermediary fees ».

Use of order execution and investment decision support services in 2016
In the context of transactions on listed shares, listed derivatives (futures & options) and corporate bonds done during the 2016 financial year and for the whole set of funds under management, SYQUANT Capital has used in certain cases external research services in order to compare its own analysis on certain opportunities. These services include but not exhaustively financial analysis, economic research, specific analytic research on certain segments and linking with other specialists. None of these services was engaged under any split commission agreement.

Breakdown of intermediary fees
Breakdown on intermediary fees paid on transactions listed above during year 2016 is as follows:
- Intermediary fees for investment decision support services represented 23.2% of the total.
- Orders’ execution fees represented 76.8% of the total of intermediary fees.

Percentage of fees paid back to third parties in 2016 under split commission agreements
In accordance with its Investment policy and with the Best Selection policy, no split commission agreements is in place as at the end of the 2016 financial year. As such, from the total of intermediary fees paid during year 2016, the percentage of these fees paid back to third parties under the terms of such agreements, as mentioned in article 314-81 of RG AMF is null.

Prevention and handling of conflicts of interests
The selection of service providers and their assessment is duly governed by the intermediary selection policy and the conflict of interest policy. These policies are available upon request by Email at: RCCI@syquant.com


Customer complaints management



SYQUANT Capital, in accordance with the regulation, has implemented and maintains an operational procedure to quickly and efficiently process complaints made by its clients. Any complaint may be referred to RCCI@syquant.com or by regular mail at the following address:

SYQUANT Capital
Attn. RCCI
160 Boulevard Haussmann
75008 Paris

Syquant Capital will acknowledge receipt of the complaint within a maximum of ten working days from the date it was received, unless a response has been issued to the client in the intervening period. Except in duly justified exceptional circumstances, a response will be issued to the client within two months of receipt of the complaint.

In the event of an ongoing dispute, the client may contact the AMF Ombudsman at the following address:

Autorité des marchés financiers
Médiateur de l'AMF
17 Place de la Bourse
75082 PARIS CEDEX 02

The AMF mediation request form and the Mediation Charter are available on the AMF website:

- Mediation Charter

- AMF mediation request form


Integration of ESG criteria


In accordance with article L.533-22-1 of the french “Code Monétaire et Financier”, SYQUANT Capital shall inform investors as regards to the integration of Social, Environmental and Corporate Governance criteria within the investment policy of the company.

Investment policy within all funds managed by SYQUANT Capial does not formally and systematically integrate criteria linked to Environmental, Social and Corporate Governance (E.S.G.) although the management team will in some particular investment opportunities pay a special attention to manager’s ethic, financial transparency, information and independency of their audit structures.

The management company does not currently belong to any association specialized in sustainable development and does not delegate to any third party the extra-financial notation of companies. SYQUANT Capital does not manage any E.S.G funds.


Compensation Policy


In accordance with the UCITS Directive 2014/91/ EU of 23 July 2014, SYQUANT Capital has implemented a Remuneration Policy compatible with sound and effective risk management applicable to categories of personnel whose professional activities have a material impact on the Risk profile of the UCITS it manages. This policy is available here. A hard copy can be made available free of charge upon request.



 
 

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