Legal Information

Introduction

Kavaljer AB is under the supervision of the Swedish Financial Supervisory Authority (FI no. 035550). LMM Kavaljer Quality Focus and LMM Kavaljer Investmentbolagsfond are Luxembourg-registered sub-funds within the UCITS umbrella fund Lux Multimanager SICAV. The funds are authorized for marketing to the public in Sweden, Norway and Luxembourg. The fund company is Waystone, and Caceis Investor Services is tasked with providing fund accounting and maintaining the shareholder registry, and has been appointed as the depositary for the funds.

On this page, you will find information on how to register a complaint, our guidelines and policies, and other legal information.

Compliance and Risk Control

Kavaljer has a service agreement with HSA Söderqvist law firm (HSA) regarding compliance and risk control.

The person responsible for compliance is Kristina Jonsson, Lawyer and Partner at HSA Söderqvist (HSA).
Phone: +46 (0)8-407 88 09
E-mail: kristina.jonsson@hsa.se
Mail: Kungsgatan 36, Box 7836, 103 98 Stockholm, Sweden, Att: Kristina Jonsson.

The person responsible for risk control is Johan Grenefalk, Lawyer and Partner at HSA Söderqvist (HSA).
Phone: +46 (0)8-407 88 07
E-mail: johan.grenefalk@hsa.se
Mail: Kungsgatan 36, Box 7836, 103 98 Stockholm, Sweden, Att: Johan Grenefalk.

External Audit

Christian Elmgren, Partner within Assurance at Grant Thornton, serves as Kavaljer’s external auditor. The external auditor reviews Kavaljer’s financial reporting and internal processes. Christian is an authorized auditor with specialized expertise in auditing financial institutions. He reports to the Board of Directors and the CEO.

Authorized Public Accountant
Christian Elmgren
Phone: +46 (0)8 407 77 59
Grant Thornton
P.O. Box 7623
SE-103 94 Stockholm, Sweden
Visiting Address: Kungsgatan 57
Email: christian.elmgren@se.gt.com

Policies and Guidelines

Remuneration Policy
Read our Remuneration Policy here: Guidelines for Employee Remuneration (Swedish only)

Guidelines for Employees’ Personal Transactions
Read our Guidelines for Employees’ Personal Transactions here: Kavaljer Guidelines for Employees’ Personal Transactions (Swedish only)

Best Execution
Read our Best Execution Policy here: Kavaljer Guidelines for Best Execution in Portfolio Management (Swedish only)

Active Ownership
Read our Active Ownership Policy here: Shareholder Engagement Policy (Swedish only)

Sustainability Policy
Read about how we integrate sustainability factors into our investment management: Sustainability Policy (Swedish only)

Code of Ethics
Read our Code of Ethics here: Code of Ethics (Swedish only)

Diversity
Read our Diversity Policy here: Diversity Policy (Swedish only)

Information on Liquidity Risk Management
Liquidity Risk Management (Swedish only)

Information on the Characteristics and Risks of Financial Instruments
Risk Information from the Swedish Securities Markets Association (Swedish only)

Information about Kavaljer and Our Services
Kavaljer – Information about the Company (Swedish only)

Complaints

Kavaljer strives to ensure that customers are satisfied with the company’s services and products. In case of a complaint, please contact the company’s complaints officer, Peter Lindvall, as the first point of contact.

Mail: Kavaljer AB, Box 1221, 131 28 Nacka Strand
E-mail: info@kavaljer.se
Phone: 08-68439300

Complaints must be handled efficiently and carefully, and responded to objectively and accurately. The response must be provided in writing and formulated as clearly as possible so that the complainant can easily understand the information therein. Complaints are processed by the company’s complaints officer in consultation with the person who initially received the customer’s complaint. Decisions on complaints are made by the CEO.

As a consumer, you always have the right to address your concerns or complaints to other relevant authorities:

Allmänna reklamationsnämnden (ARN) – www.arn.se

Allmänna reklamationsnämnden
Box 174, 101 23 Stockholm
Tel: 08-508 860 00
E-post: arn@arn.se

Visit ARN: Kungsholmstorg 5, Opening hours: Monday-Wednesday 13-15, Thursday-Friday 10-12.

Konsumenternas Bank- och finansbyrå – konsumenternas.se
Phone 0200-22 58 00, business days between 9.00 and 12.00.
Mail: Box 24215, 104 51 Stockholm.
Inquiry form: Kontakta oss | Konsumenternas

You can also contact the consumer advisory service in your municipality and even take legal action in a general court.