Legal information

East Capital Asset Management S.A., (ECAM), is authorised in Luxembourg, since 15 March 2013, as a Management Company pursuant to article 101 (2) of Luxembourg Law of 17 December 2010 concerning undertakings for collective investment and is under the supervision of the “Commission de surveillance du secteur financier” (CSSF). From 16 May 2014, ECAM is also licensed for managing alternative investment funds pursuant to Luxembourg by the Law of 12 July 2013 on Alternative Investment Fund Managers. From 24 August 2016, ECAM is also authorised to conduct portfolio management in respect to separately managed accounts pursuant to Article 101(3)(a) of the Law of 17 December 2010. This activity is undertaken for a small number of select institutional clients. Since 2016 ECAM has a branch located in Stockholm, Sweden.

ECAM acts as the Management Company of the East Capital SICAV, an open-ended Luxembourg UCITS fund with multiple sub-funds ("société d'investissement à capital variable (SICAV) à compartiments multiples") governed by Luxembourg law and established in accordance with the provisions of Part I of Luxembourg Law of 17 December 2010. ECAM acts also as the Management Company of East Capital Multi-Strategi a Swedish domiciled UCITS fund pursuant to the Mutual Funds Act (Swedish Code of Statutes 2004:46).
www.eastcapital.com/funds

ECAM acts, since 2 June 2014, as the Alternative Investment Fund Manager (AIFM) for East Capital (Lux) SCA, SICAV-SIF (the “SIF”), a société en commandite par actions, incorporated under the laws of the Grand Duchy of Luxembourg as a société d’investissement à capital variable – fonds d’investissement spécialisém subject to the law of 13 February 2007 relating to specialised investment funds.. ECAM acts, since 24 May 2019, as the Alternative Investment Fund Manager (AIFM) for East Capital (Lux) SCA, SICAV-RAIF (the “RAIF”), a société en commandite par actions, incorporated under the laws of the Grand Duchy of Luxembourg as a société d’investissement à capital variable – fonds d’investissement alternatif réservé subject to the law of 23 July 2016.
www.eastcapitalrealestate.com

ECAM acts, since 1 October 2019, as the Management Company of the Espiria SICAV an open-ended Luxembourg UCITS fund with multiple sub-funds ("société d'investissement à capital variable (SICAV) à compartiments multiples") governed by Luxembourg law and established in accordance with the provisions of Part I of Luxembourg Law of 17 December 2010.
www.espiria.se

ECAM acts, since 1 April 2020, as the Management Company of Adrigo Small & Midcap L/S, a Swedish domiciled actively managed equity hedge fund. The fund is a “Specialfond” according to chapter 12 in the Swedish Act (2013:561) on managers of alternative Investment Funds.
www.adrigo.se

If, for any reason, you are not satisfied with the products and services offered by East Capital Asset Management S.A. (the "Company"), and in particular the Luxembourg- and/or Sweden-domiciled investment funds, please refer to the instructions below for the handling of client complaints.

In order to meet the expectations of its clients, East Capital Asset Management S.A. strives to act on such complaints in a prompt, adequate and efficient manner. When handling complaints, the Company shall always aim to reach solutions that are satisfactory to the interests of all stakeholders.

Scope

These instructions cover the handling of all client complaints in connection with the Company, its products and services.

A client complaint shall be understood as any written statement of an investor in the portfolios managed by the Company, or of a person acting on behalf of an investor, expressing concrete dissatisfaction, which is related to the investments in one of these portfolios.

Handling

Registration

All clients can file a complaint in writing to the Complaints Manager, Mr Jean-Christophe Esteve, either by post at 11, rue Sainte-Zithe, L-2763 Luxembourg, Grand-duchy of Luxembourg, or by email to jean-christophe.esteve@eastcapital.com.

In the complaint, the client must state the grounds on which it is based and the remediation expected from the Company.

Handling of client complaint

The Complaints Manager of the Company shall ensure that all complaints are answered as soon as possible, with a written acknowledgment of receipt of a complaint being sent to the client within ten (10) business days following the receipt of such complaint. The written acknowledgement of receipt will include an indicative timetable for handling the complaint.

Upon the completion of the internal investigation, the Complaints Manager shall then provide an answer regarding the grounds for the complaint without undue delay, and in any case within a period which cannot exceed one (1) month between the date of receipt of the complaint and the date at which the answer to the client was sent. Where an answer cannot be provided within this period, the Complaints Manager shall inform the client of the causes of the delay and indicate the date at which its examination is likely to be achieved.

Where the client did not obtain an answer or a satisfactory answer from the Complaints Manager, it shall be given the opportunity to raise the complaint up to the level of the management of the Company. In this respect, the Complaints Manager shall provide the client with the contact details of the management of the Company.

Furthermore, where the complaint handling by the Company does not result in a satisfactory answer for the client, the Complaints Manager shall inform the client in writing of the existence of the out-of-court complaint resolution procedure at the Commission de Surveillance du Secteur Financier (“CSSF”), which is the Grand-Duchy of Luxembourg’s financial services regulator; the Complaints Manager shall send the client a copy of the relevant pieces of regulation (see below, under ‘Applicable pieces of regulation’), as well as the reference to the CSSF Website, including the different means to contact the CSSF to file a request. The Complaints Manager shall inform the client that such complaints must be forwarded to the CSSF within one (1) year from the after the client filed the original complaint with the Company.

Applicable pieces of regulation

CSSF Regulation Nr 16-07 of October 26th, 2016 relating to the out-of-court resolution of complaints.
CSSF Circular 17/671 of October 13th, 2017 on details concerning CSSF Regulation Nr 16-07.

• Conflicts of interest handling policy
• Group remuneration policy
• Principal Adverse Impact (PAI) statement
• Voting rights policy (ECAM)
• Sustainability risk policy (ECAM)
• Best execution policy (ECFS)

Peter Elam Håkansson - Board Member

Karine Hirn - Chairman of the Board

Albin Rosengren - Board Member

Peter Elam Håkansson - Board Member

Karine Hirn - Chairman of the Board

Louise Hedberg - External Board Member

Johan Wigh - External Board Member

Jérôme Wigny - External Board Member

Peter Elam Håkansson - Board Member

Per Elcar - CEO and Board Member

Fredrik Boheman - External Board Member

• Peter Elam Håkansson - Chairman & Group CIO
• Karine Hirn - Partner & Group Chief Sustainability Officer
• Albin Rosengren - Partner & Head of East Capital Real Estate
• Jacob Grapengiesser - Partner & CIO East Capital
• David Nicholls - Portfolio Manager
• Nikodemus Dahlgren - Partner & Head of Sales

• Mahsa Bouromand - Chief Human Capital Officer
• Ana Correia - Corp. Secretary & HR Coordinator
• Nikodemus Dahlgren - Head of Sales & Partner
• Lucija Devetak - General Manager & Head of Oversight, Lux
• Peter Elam Håkansson - Chairman & Group CIO
• Per Elcar - CEO
• Tobias Gustafsson - Head of Operations
• Karine Hirn - Chief Sustainability Officer & Partner
• Joakim Ringh - Group Chief Financial Officer
• Albin Rosengren - Head of Real Estate & Partner
• Jessica Scott - Chief Marketing and Communications Officer