Conformemente all’art. 10 cpv. 3 della Legge federale sugli investimenti collettivi di capitale (LIcol), possono essere definiti investitori qualificati:
gli intermediari finanziari sottoposti a vigilanza, come le banche, i commercianti di valori mobiliari, le direzioni dei fondi e i gestori di investimenti collettivi di capitale;
gli istituti di assicurazione sottoposti a vigilanza;
gli enti di diritto pubblico e gli istituti di previdenza con tesoreria professionale;
le imprese con tesoreria professionale;
i privati facoltosi;
gli investitori che hanno concluso un contratto scritto di gestione patrimoniale con un intermediario finanziario (p.es. banca, commerciante di valori mobiliari, direzione di un fondo o gestore di investimenti collettivi di capitale).
Conformemente all’art. 6 cpv. 2 dell’Ordinanza sugli investimenti collettivi di capitale in correlazione con l’art. 10 cpv. 4 LIcol, possono inoltre essere considerati investitori qualificati:
i gestori patrimoniali indipendenti e gli investitori che hanno concluso con essi un contratto scritto di gestione patrimoniale se:
il gestore patrimoniale è sottoposto, in qualità di intermediario finanziario, alla legge del 10 ottobre 1997 sul riciclaggio di denaro (LRD) (art. 2 cpv. 3 lett. e LRD);
il gestore patrimoniale sottostà alle norme di comportamento di un’organizzazione settoriale riconosciute come standard minimi dalla FINMA; e
il contratto di gestione patrimoniale è conforme alle direttive riconosciute di un’organizzazione settoriale.
Si considera privato facoltoso la persona che conferma per scritto di disporre direttamente o indirettamente di investimenti finanziari per almeno 2 milioni di franchi.
Sono qualificabili come investimenti finanziari i depositi bancari (a vista o a termine), gli investimenti fiduciari, i titoli (inclusi investimenti collettivi di capitale e prodotti strutturati), i derivati, i metalli preziosi e le assicurazioni sulla vita con valore di riscatto.
Non sono da considerare investimenti finanziari gli investimenti diretti in immobili e diritti da assicurazioni sociali (inclusi averi del 2° e 3° pilastro).
La conferma relativa agli investimenti finanziari disponibili deve pervenire entro la data dell’offerta o della vendita dell’investimento collettivo di capitale.
La disponibilità dei necessari investimenti finanziari deve essere verificata da chi effettua l’appello o dall’offerente qualora esistano dubbi in merito alla conformità con i criteri previsti per rientrare nella cerchia dei privati facoltosi.
È possibile rinunciare a una conferma scritta se i necessari investimenti finanziari si trovano presso la banca o il commerciante di valori mobiliari che offre o distribuisce gli investimenti collettivi di capitale.
I veicoli d’investimento costituiti per privati possono essere considerati alla stregua di privati facoltosi se dispongono di investimenti finanziari netti per oltre 2 milioni di franchi.
Fonte: Circolare dell’Autorità federale di vigilanza sui mercati finanziari FINMA relativa all’appello al pubblico ai sensi della legislazione sugli investimenti collettivi di capitale
(Circ. FINMA 08/8)
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