1. Advisory Policy Statement

Sovereign Privè Investment Advisory New Zealand

This Policy Statement sets out the principles, scope, and limitations under which Sovereign Privè Investment Advisory New Zealand (“Sovereign Privè NZ”) provides advisory services.

Sovereign Privè NZ operates as an independent, non-discretionary investment advisory, focused on the evaluation, structuring, and coordination of capital allocations into New Zealand. The advisory does not manage assets, custody funds, or execute transactions.

All engagements are formalised under an advisory mandate following an initial confidential discussion and confirmation of alignment.

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2. Advisory Role and Independence

Sovereign Privè NZ provides strategic and structural investment advice only.

The advisory:

• Acts solely in an advisory capacity

• Does not act as principal, agent, broker, or product distributor

• Does not receive transaction-based compensation

• Does not promote or syndicate deal flow

Advice is provided independently of execution. Implementation, where required, is carried out by appropriately licensed third-party professionals, including but not limited to investment managers, legal advisers, tax advisers, and regulated service providers.

This separation preserves independence, mitigates conflicts of interest, and ensures clarity of responsibility.

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3. Investment Advisory Focus

Sovereign Privè NZ advises on significant private capital allocations into New Zealand, typically involving:

• Privately negotiated equity positions

• Strategic minority interests

• Bespoke exposure within regulated or real-economy sectors

• Opportunities requiring careful structuring, governance review, and jurisdictional analysis

Advisory work prioritises:

• Structural integrity

• Counterparty risk assessment

• Governance standards

• Regulatory coherence

• Alignment with long-term capital objectives

The advisory does not provide portfolio management, asset allocation mandates, or performance guarantees.

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4. Jurisdictional and Regulatory Considerations

Sovereign Privè NZ operates between Switzerland and New Zealand and is informed by standards common to international wealth management and family-office practice.

Where relevant, certain capital allocations may be considered within the context of New Zealand regulatory frameworks, including the Active Investor Plus (AIP) programme. Such frameworks may inform structuring considerations but do not drive investment decisions.

Residency, immigration, tax, and legal matters are addressed only in coordination with licensed professionals and only to the extent relevant to an investment decision.

Sovereign Privè NZ does not provide legal, tax, immigration, or regulatory advice.

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5. Client Selection and Engagement

Sovereign Privè NZ works with a deliberately limited number of clients.

Engagements are selective and typically involve:

• Principals or family offices

• Long-term investment horizons

• Significant capital commitments

• A preference for discretion and considered decision-making

The advisory reserves the right to decline engagements where alignment, scale, or governance standards are not met.

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6. Risk Acknowledgement

All investments involve risk, including but not limited to:

• Capital loss

• Liquidity constraints

• Regulatory change

• Counterparty and execution risk

Sovereign Privè NZ provides advice intended to reduce decision risk, not eliminate investment risk. Final investment decisions remain the sole responsibility of the client.

No representation or warranty is made regarding investment performance, outcomes, or returns.

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7. Confidentiality and Data Protection

All client discussions, materials, and information are treated as strictly confidential and handled in accordance with applicable data protection and privacy laws.

Information is shared with third-party advisers only where necessary and only with the client’s knowledge or consent.

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8. Conflicts of Interest

Sovereign Privè NZ seeks to identify, avoid, and manage conflicts of interest.

The advisory:

• Does not accept inducements tied to transactions

• Discloses any potential conflicts if they arise

• Maintains independence from execution counterparties

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9. Limitation of Liability

To the maximum extent permitted by law, Sovereign Privè NZ shall not be liable for:

• Investment losses

• Actions or omissions of third-party service providers

• Decisions taken by clients based on advisory input

This policy does not exclude liability where such exclusion is not permitted by applicable law.

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10. Amendments

This Policy Statement may be updated periodically to reflect changes in regulatory requirements, operating practices, or advisory scope. The most current version will be made available upon request.

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Status

This Policy Statement is provided for informational purposes and forms part of the advisory framework under which Sovereign Privè Investment Advisory New Zealand operates.

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