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Financial Services Act (FinSA) course

ABOUT THE COURSE

The course promotes the understanding of regulations of Financial Services Act (FinSA), to protect clients of financial service providers and establish equal conditions for all market players.

The training aims at client advisors of Swiss financial institutions and client advisors of foreign institutions, who are serving clients in Switzerland. For both groups, training on FinSA regulation is a mandatory requirement.

 

Following topics are covered: 

 

  1. General provisions

  2. Client typologies

  3. Appropriateness and suitability

  4. Documentation and transparency

  5. Conflict of interest

  6. Control systems

  7. Administrative and criminal sanctions

TIME
TARGET AUDIENCE
PREREQUISITES

Approximately 25 minutes.

Anyone working for a financial intermediary.

None

ASSESSMENT

A formal assessment consisting of 10 questions with a passing grade of 80% forms part of this course.

CERTIFICATION

Upon successful completion, participants will earn a certificate.

LANGUAGE

English, Italian

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