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©  ROC Investment Ltd,  Rämistrasse  31, 8001 Zurich, Switzerland,  +41(0)442091555

WHY ROC IS INDEPENDENT

NO RETROCESSIONS  >  NO NEGATIVE INCENTIVES

Accepting retrocessions1 by wealth managers create incentives, which can impair their investment behaviour. Although this fact is widely known and criticized, retrocessions are still common in the banking and wealth management industry. In contrast to many external wealth managers and banks, ROC therefore does not accept any kind of retrocessions. Offered rebates or trailer fees are credited in full to our clients. Our compensation is completely transparent and comes exclusively from our clients. Only if we grow your assets, we can grow our earnings. Thus, quality, superior performance and low costs are the only deciding criteria in our investment decision process. Your success is our success!

NO OWN INVESTMENT PRODUCTS  >  SELECT THE BEST

Mixing the manufacturing of investment products and financial advice is known as another breeding ground for conflict of interests. The tendency to prefer own to potentially better third party products (because of higher profit margins), can impair the client’s investment performance. For this reason ROC abstains from production of own products. Furthermore we are not bound to the products or services of any institution or partner and are therefore in a privileged position to objectively select the best financial asset by considering the whole universe of investment instrument.

NO THIRD PARTY SHAREHOLDERS  >  NO THIRD PARTY INTERESTS

ROC is neither controlled nor owned by any third party shareholders. ROC is solely owned and managed by its  operatively engaged partners. With this structure any conflicts of interest shall be avoided and the entrepreneurial spirit, long-term thinking as well as the focus on our clients’ interests shall be assured.

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1 Retrocessions are revenue based kickbacks of banks and investment product providers to wealth managers. Thereby banks and product companies pay a portion of their generated commission income for instance from securities-/foreign exchange transactions or for the sale of financial products (trailer fees) to the ordering wealth manager. Thus, retrocessions create incentives for wealth managers, which can lead to excessive trading or to investing in “expensive” but low-performing investment products. This  all at the cost of the client’s investment performance.

True independence directs the focus of a wealth manager solely on YOUR investment success.

YOUR success

is OUR success.

A strong

Partnership

you can trust in.