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:
Appropriateness and suitability
Documentation and transparency
Conflict of interest
Administrative and criminal sanctions
Approximately 25 minutes.
Anyone working for a financial intermediary.
A formal assessment consisting of 10 questions with a passing grade of 80% forms part of this course.
Upon successful completion, participants will earn a certificate.