Regulatory Information & Risk Disclosure

SWIX Family Office is the trading name of SWIX Family Office UK Limited, a company incorporated in England and Wales, Company No. 12912696.

SWIX Family Office UK Limited is authorised and regulated by the Financial Conduct Authority, FCA No. 936901, since 29 September 2020.
Registered office: 35 Ballards Lane, London, England N5 1XW.

SWIX Family Office SA is authorised and regulated by the Swiss Financial Market Supervisory Authority, FINMA.

This page is a financial promotion issued by SWIX Family Office UK Limited. It is directed exclusively at Professional Clients and Eligible Counterparties as defined under the FCA’s Conduct of Business Sourcebook. It is not directed at Retail Clients.

The information contained on this page is provided for information purposes only and does not constitute investment advice, a personal recommendation, an offer, or a solicitation to buy or sell any financial instrument or to engage in any investment activity.

Investments involve risk. The value of investments and any income derived from them may fall as well as rise, and investors may not recover the amount originally invested. Past performance is not a reliable indicator of future results.

Private market investments and alternative strategies may be illiquid, long-term in nature and carry a higher degree of risk. They are not suitable for all investors and are available only to eligible clients following appropriate assessment.

Assets under management and advisement figures are as at 31 December 2025 and are unaudited.

UK Stewardship Code Disclosure

Under Rule 2.2.3R of the Financial Conduct Authority’s Conduct of Business Sourcebook (COBS), SWIX Family Office UK Limited is required to make a public disclosure regarding the nature of its commitment to the Financial Reporting Council’s (FRC) UK Stewardship Code (the “Code”).

The FRC published the UK Stewardship Code 2026 (the “2026 Code”), which took effect from 1 January 2026. The 2026 Code sets out six Principles for asset managers and asset owners covering the responsible allocation, management and oversight of capital to create long-term sustainable value for clients and beneficiaries. The Code is voluntary and applies on an ‘apply and explain’ basis.

SWIX Family Office UK Limited is supportive of the objectives underlying the Code and is committed to acting in the best interests of its clients and to the highest standards of corporate governance and investment due diligence. However, having considered the 2026 Code, the firm does not currently apply the Code as a formal signatory for the following reasons:

• Scale and nature of activities: SWIX Family Office UK Limited is a privately-owned discretionary wealth manager of modest scale. The Code is primarily directed at large institutional investors whose collective shareholdings give them meaningful influence over the governance and conduct of investee companies. The firm’s equity holdings on behalf of clients are individually and collectively of a size that does not confer material influence over investee companies’ governance or strategy.
• Investment approach: The firm’s investment approach focuses on portfolio construction and asset allocation on behalf of individual and family clients rather than direct engagement with company management or the exercise of institutional voting power as a tool to drive corporate change.
• Proportionality: The administrative and reporting obligations associated with formal Code signatory status — including annual Activities and Outcomes Reports and Policy and Context Disclosures — would be disproportionate to the scale of the firm’s activities and the nature of its client base.

Where SWIX Family Office UK Limited does hold shares in listed companies on behalf of clients, it takes account of governance and stewardship considerations as part of its overall investment analysis and will vote where it is practical and in clients’ interests to do so.

Should the nature or scale of the firm’s activities change such that formal adoption of the Code becomes appropriate, SWIX Family Office UK Limited will review its position and update this disclosure accordingly. This disclosure is reviewed at least annually.

Remuneration Policy 

SWIX Family Office UK Limited (the “Firm”) is subject to the FCA’s remuneration requirements under SYSC 19C of the FCA Handbook. This summary sets out the key features of the Firm’s remuneration policy and practices.

Governance

The Firm’s Management Committee, comprising its Directors, has overall responsibility for the remuneration policy. Given the size of the Firm, it has disapplied the requirement to maintain a separate Remuneration Committee, in accordance with the proportionality provisions available under SYSC 19C. The Management Committee approves all fixed and variable remuneration and reviews this policy at least annually to ensure it remains appropriate to the Firm’s size, activities and risk profile.

Scope

All staff are considered Remuneration Code Staff, as their professional activities are capable of having a material impact on the Firm’s risk profile.

Remuneration Structure

Remuneration comprises two elements:

Fixed remuneration — base salary and benefits, set by reference to the individual’s skills, experience and performance, with reference to external market benchmarks.

Variable remuneration — non-deferred cash awards, determined by reference to a range of financial and non-financial performance metrics including client outcomes, risk management, compliance, conduct, and achievement of individual objectives.

The fixed element is set at a level sufficient to allow the Firm to operate a fully flexible policy on variable remuneration, including the option to pay no variable component in any given year.

Risk Alignment

The Firm’s remuneration policy is designed to promote sound and effective risk management and does not encourage risk-taking beyond the Firm’s stated risk tolerance. Variable remuneration is not awarded in a manner that conflicts with clients’ interests or the long-term interests of the Firm. Breaches of risk or compliance policies, or disciplinary action during a review period, may result in a reduced or nil variable award. Investment staff are not assessed on short-term performance; positions may be held for up to three years, and unrealised profits are not a basis for remuneration.

Proportionality

Given the Firm’s size and the nature of its activities, SWIX Family Office UK Limited does not apply the requirements under SYSC 19C relating to share-based variable remuneration (Principle 12(f)) or mandatory deferral of variable remuneration (Principle 12(g)). This is considered appropriate and consistent with the Firm’s scale and peer practice.

The Management Committee reviews the continued appropriateness of this position annually.

Conflicts of Interest

The Firm has measures in place to ensure that remuneration arrangements do not give rise to conflicts of interest.

The Chief Operating Officer oversees the appraisal process for investment staff, and at least one Director is involved in assessments for non-investment staff, supporting objectivity in pay decisions.