Services provided
Roman Gaus provides introducer, fundraising support and capital curation services only. These services are limited to strategic positioning, investor targeting, communication support, outreach support, relationship facilitation and meeting moderation.
No regulated financial services are provided unless expressly stated otherwise in writing and supported by the required regulatory framework.
Regulatory position under Swiss law
Roman Gaus is not regulated by FINMA as a bank, securities firm, portfolio manager, trustee, fund management company or insurance intermediary, and does not provide regulated financial services unless expressly stated otherwise in writing and supported by the required regulatory framework.
FINMA supervises banks, securities firms, financial institutions, collective investment schemes and certain other regulated market participants. Roman Gaus does not fall within these categories in respect of the services described on this website.
What is not provided
In particular, Roman Gaus does not:
- Provide personal investment recommendations or investment advice
- Accept or transmit subscription orders or other client orders in relation to financial instruments
- Hold, control or transfer client assets or client money
- Execute transactions on behalf of clients
- Provide portfolio management, wealth management, brokerage or custody services
FinSA considerations
Under the Swiss Financial Services Act (FinSA), activities such as investment advice and the receipt and transmission of orders in relation to financial instruments may constitute regulated financial services. Roman Gaus does not carry out such activities in the course of the services described on this website.
Where an offering, subscription, suitability assessment, investor classification, transaction execution or closing documentation is required, these functions are handled exclusively by the relevant issuer, GP, sponsor, placement agent, bank, securities firm or other appropriately responsible regulated or authorized party.
Audience and market participants
Services are intended exclusively for business counterparties and, where relevant, professional or institutional market participants, not for retail distribution or retail solicitation.
References to fundraising and capital introduction
Any references to fundraising, capital introduction or investor access do not constitute an offer, solicitation, recommendation or placement of securities or collective investment schemes by Roman Gaus.
Where collective investment schemes are involved, Swiss regulatory treatment depends in particular on the investor category and the structure of the offering. For example, FINMA states that foreign collective investment schemes offered to qualified investors in Switzerland do not require authorisation, while different rules apply in other cases.
Nature of this website
This website is for general informational purposes only and does not constitute legal, tax, regulatory or investment advice. Regulatory treatment depends on the facts of each mandate and should be assessed separately under applicable Swiss law.
Regulatory treatment depends on the facts of each mandate and should be assessed separately under applicable Swiss law. Roman Gaus recommends that all parties obtain independent legal and regulatory counsel before proceeding with any capital raising activity.