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Financial Services Act (FinSA) advanced course

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 this requirement 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:

  1. General Introduction to FinSA (20 mins)

  2. Scope of Application (30 mins)

  3. Client Segmentation and Onboarding (30 mins)

  4. Information Duty (30 mins)

  5. Appropriateness and Suitability (30 mins)

  6. Documentation and Rendering of Account (30 mins)

  7. Transparency and Care in Client Orders (30 mins)

  8. Offering of Financial Instruments (30 mins)

  9. Civil, Administrative and Criminal Procedures (30 mins)

  10. Organisational Measures and Conflict of Interests (30 mins)

  11. Client Advisers (30 mins)

TIME
TARGET AUDIENCE
PREREQUISITES

Approximately 30 minutes.

Client advisors of domestic and foreign financial institutions. All employees of compliance, legal and risk management, internal audit and operational staff.

None

FinSA Foundation course recommended.

ASSESSMENT

Formal assessment consisting of 10 questions per module with a passing grade of 80% forms part of this course.

CERTIFICATION

Upon completion,
participants will earn a certificate, recognised by FINMA-licensed certifying bodies.

LANGUAGE

English

DURATION IN HOURS
(SAQ credits)

5h

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