Governance & Regulatory Framework

Governance Principles

At Retro Fund Management AG, strong governance is fundamental to how we operate. Our organisational structure, internal controls, and decision-making processes are designed to support responsible investment management, transparency, and the protection of client interests.

We place particular emphasis on accountability, consistency, and professional conduct across all aspects of our business.

Regulatory Framework

Retro Fund Management AG operates within the Swiss financial market framework and conducts its activities in accordance with applicable Swiss laws, regulations, and recognised industry standards.

  • Registered in the Swiss Commercial Register
  • Headquartered in Zurich, Switzerland
  • Member of a FINMA-recognised self-regulatory organisation (FINRA)

Our regulatory alignment reflects Swiss standards of professionalism, integrity, and client protection.

Internal Controls & Oversight

We maintain appropriate internal controls and oversight mechanisms designed to support disciplined investment processes and risk management.

These include:

  • Clearly defined roles and responsibilities
  • Structured investment and risk oversight
  • Ongoing monitoring of mandates and activities
  • Documentation and review procedures

Our internal framework is designed to ensure that investment activities remain consistent with agreed mandates and governance standards.

Risk Governance

Risk governance is embedded throughout our organisation. We recognise that effective risk management is essential to long-term capital stewardship and client confidence.

Our approach includes:

  • Identification and monitoring of key risks
  • Oversight of portfolio-level exposures
  • Review of market, liquidity, and operational considerations
  • Escalation and review procedures where appropriate

This structured approach supports prudent decision-making and portfolio resilience.

Professional Conduct & Ethics

We adhere to high standards of professional conduct and ethical behaviour. All activities are carried out with integrity, discretion, and respect for client confidentiality.

  • Our culture emphasises:
  • Acting in the best interests of clients
  • Avoidance of conflicts of interest
  • Transparency and clear communication
  • Respect for confidentiality and data protection

Client Protection & Confidentiality

The protection of client information and assets is a core responsibility. We apply Swiss standards of confidentiality and data protection in all client relationships.

Client data is handled with care, and access is restricted in line with internal policies and applicable legal requirements.

Ongoing Review & Compliance

Governance and regulatory requirements evolve over time. We therefore review our internal framework on an ongoing basis to ensure continued alignment with regulatory expectations and industry best practice.

Where appropriate, processes and controls are enhanced to reflect changes in the regulatory or market environment.

Our Commitment

Our governance and regulatory framework is designed to support disciplined investment management, operational stability, and long-term client confidence.