Structured Retail Access – Regulated Routes to Sunnov Strategies

The purpose of structured retail access

Structured participation pathways are not intended to turn Sunnov into a direct-to-consumer provider. Instead, they exist so that advisers, private banks and platforms can incorporate selected strategies into their own offerings where this is appropriate for eligible clients.

Within a diversified retail portfolio, these vehicles can provide exposure to core equity, complementary or thematic strategies under rules that define investment limits, valuation practices, liquidity management and disclosure standards.

Types of vehicles and how they operate

Sunnov typically participates via regulated fund or note structures created and operated by third-party platforms and management companies. The precise format varies by jurisdiction and distributor, but may include:

• Funds that offer periodic liquidity (for example, interval or tender-offer designs) while investing part of their assets in less liquid underlying strategies.
• Publicly listed vehicles such as companies or trusts that hold diversified portfolios of underlying investments and publish regular disclosures.
• Umbrella or series structures that allow different share classes or compartments to access distinct strategy sleeves under a shared governance framework.

In each case, Sunnov’s role is to manage the underlying investments or strategy sleeve, while working with the sponsoring platform on documentation, reporting and risk oversight.

Safeguards for eligible retail investors

Structured access brings responsibilities as well as opportunities. Sunnov therefore works only within frameworks that provide appropriate investor protections and governance. Key elements typically include:

• Formal valuation and liquidity management policies, overseen by the vehicle’s board or management company and aligned with local regulation.
• Clear, standardised risk disclosure language explaining key characteristics such as leverage, concentration, liquidity and potential loss of capital.
• An appointed compliance officer or equivalent function with authority to oversee policies, service providers and regulatory reporting.

These safeguards do not remove investment risk, but they help ensure that the nature of that risk is understood and appropriately governed.

For advisers and platforms acting for eligible retail clients

Sunnov’s structured retail participation is designed primarily for professional intermediaries, not for direct retail enquiries. It will typically be relevant for:

• Private banks and wealth managers seeking to incorporate Sunnov strategies into multi-asset or discretionary mandates for eligible clients.
• Advisory firms and platforms that wish to offer access to specific Sunnov approaches within their own regulated fund or note structures.
• Institutional sponsors exploring vehicles that blend institutional and eligible retail capital under a common framework.

Discuss structured participation pathways with Sunnov

Intermediaries considering new or existing vehicles linked to Sunnov strategies can contact our team to discuss investment roles, operational requirements and regulatory considerations in more detail.