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:
services and activities,
client segmentation and onboarding,
appropriateness and suitability of financial services,
documentation and rendering on account,
transparency and care in client orders,
offering of financial instruments,
civil, administrative and criminal procedures,
conflicts of interest.
Approximately 30 minutes.
Client advisors of domestic and foreign financial institutions. All employees of compliance, legal and risk management, internal audit and operational staff.
FinSA Foundation course recommended.
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.