Client advisors of non-FINMA supervised financial service providers active in the Swiss market must have and show proof of adequate know-how of financial services and knowledge of behavioural obligations under FINSA.
FINSA increases the compliance requirements for client advisors of non-FINMA supervised domestic and foreign financial service providers with clients in Switzerland. They must generally be entered in the newly established client advisor register under FINSA and have adequate know-how of the financial services provided, as well as know-how of the applicable compliance rules.
The FINSA Client Advisor Test shows:
“The compliance requirements for client advisors are also becoming more and more complex in Switzerland during this “new age of increased compliance”.
PwC is a leading consulting company on all aspects of advisory services, implementation projects, and trainings related to the new obligations under the FINSA. Please contact us if you would like to know more.
With the FINSA Client Advisor Test, Kryterion, a leading global test provider, offers a comprehensive evaluation tool that:
Each test taker will receive a certificate issued by the test provider VisionCompliance.