ABOUT THE COURSE
FinSA requires financial professionals who seek to be listed in a Swiss register of financial advisors to provide proof of their knowledge about existing regulations. The training is tailored to these requirements, i.e. Art. 6, Art. 22, Art.28 and Art. 29 of Financial Services Act (FinSA) for foreign and domestic client advisors, and is recognised by FINMA-licensed certifying bodies. It is also aimed at employees from different functional areas who need to possess extensive knowledge of current regulations.
The course covers a comprehensive list of subjects with deep dives into the topics of:
General Introduction to FinSA (20 mins)
Scope of Application (30 mins)
Client Segmentation and Onboarding (30 mins)
Information Duty (30 mins)
Appropriateness and Suitability (30 mins)
Documentation and Rendering of Account (30 mins)
Transparency and Care in Client Orders (30 mins)
Offering of Financial Instruments (30 mins)
Civil, Administrative and Criminal Procedures (30 mins)
Organisational Measures and Conflict of Interests (30 mins)
Client Advisers (30 mins)
Approximately 30 minutes
per Module. Overall 5 hours.
Client advisors of domestic and foreign financial institutions. All employees of compliance, legal and risk management, internal audit and operational staff.
Formal assessment consisting of 10 questions per module with a passing grade of 80% forms part of this course.
participants will earn a certificate, recognised by FINMA-licensed certifying bodies.
DURATION IN HOURS