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RegTech Services

Ensuring Compliance. Enabling Business.

Regulation and technology play a significant role in determining the success of our clients.

To support our clients in ensuring compliance in today’s highly complex regulatory environment and to help enable business while technological advancement accelerates and customer demands change, we built a RegTech team of innovative, passionate and experienced people with a diverse set of skills.

Our RegTech Services’ unique selling proposition is to provide services to our clients which combine regulatory, strategy, legal, compliance, technology and innovation perspectives.


Our services

RegTech cloud services

“Ensuring compliance in cloud computing and enabling your business with it at once” is the strength of our RegTech cloud services. The use of cloud solutions has turned from a potential option into a must-have across various industries to empower organisations and stay relevant in today’s fast-paced, data-driven world. To offer you optimal support in the areas of technology, security, privacy, legal and compliance, and to build trust in your individual cloud solution, we have put together a team of regulatory and technology specialists to provide the best holistic cloud services on the market.

Our RegTech cloud services cover:

  • cloud education modules in technology, privacy, security, legal and compliance
  • industry-specific, individually tailored advice on any cloud topic from interdisciplinary, seasoned PwC professionals, and
  • support with cloud strategies, technology providers and RegTech solutions.

Your benefits

of ensuring compliance of cloud computing and enabling your business with it are provided by our RegTech cloud services team:

  • composed of cloud experts in technology, security, privacy, legal and compliance
  • at the forefront of regulatory and technology developments in cloud topics in Switzerland and internationally (e.g. via regulatory working groups, technology innovation centres and conferences, industry and PwC global networks), and
  • highly connected and experienced to work with leading cloud technology providers in Switzerland and internationally, especially in highly regulated industries like banking and insurance

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FINSA Client Advisor Test

The Swiss Financial Services Act (FINSA) requires that client advisors of non-Swiss Financial Market Supervisory Authority (FINMA) regulated financial service providers are entered in a client advisor register. The requirements for such entry are, in particular, proof of the required knowledge of financial services and the know-how related to behavioral rules under FINSA. Our FINSA Client Advisor Test confirms that a client advisor has the knowledge and know-how to be entered in the client advisor register.

Our FINSA Client Advisor Test:

  • is accessible online 24 hours a day, making it a convenient way of proving the required financial services knowledge and know-how of the behavioural rules under FINSA.
  • can be accessed from any device and evaluates and certifies the test taker against an objective benchmark reflecting knowledge and know-how of the average client advisor in the Swiss market.
  • is split into different modules related to the financial services and financial instruments in the FINSA scope, including digital assets.

Your benefits

Our FINSA Client Advisor Test:

  • is the only tool that comprehensively confirms that a client advisor has the knowledge and know-how required according to Art. 6 FINSA.
  • can also be used for other purposes, such as human resources processes (job candidates, promotions, job transfers, etc.), self-evaluation and recurring tests of own capabilities.
  • is also a useful tool for counterparty due diligence processes, such as external asset managers, trustees and investment advisors, as well as the evaluation of qualified managers of external asset managers and trustees.


The FINSA Client Advisor Test can be accessed here.

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Digital customer onboarding

One of the most crucial stages of the client lifecycle is the customer onboarding process. It is a unique opportunity to create a strong client relationship from the very beginning. We are experienced legal & compliance professionals – with regulatory & technology expertise – who understand how to implement compliant digital solutions to onboard clients at financial institutions: from a regulatory, technology and customer experience point of view.

We support you with proven solutions for:

  • full digital onboarding (digital-only process)
  • hybrid digital onboarding (seamless combination of human and digital interaction)

Your benefits

End-to-end solutions with support in:

  • overview and orientation
  • technology (solutions provider research, conceptualisation, implementation)
  • regulatory & compliance (AML, CDB)
  • legal (contracts, forms)
  • customer-centricity (design, usability)

Transaction monitoring service

Transaction monitoring set-ups are quite often not only inefficient but also ineffective. Financial institutions are being buried in false anti-money-laundering alerts, creating an enormous workload for their compliance staff, while at the same time a lot of real money laundering activity is not being caught. Our Transaction Monitoring Service helps you to optimise transaction monitoring systems, processes and controls at your financial institution.

For our Transaction Monitoring Service, we have gathered a unique team of specialists from Switzerland with broad international experience in:

  • financial crime prevention
  • data analytics
  • RegTech

Your benefits

We help you in the context of transaction monitoring to:

  • improve the detection rate and efficiency
  • reduce false alarms and manual work
  • save time and costs

RegTech strategy paper

Our RegTech strategy paper provides you with a comprehensive analysis and guidance for digital transformation at financial institutions. It is designed to help you harness business opportunities by deploying advanced strategies, working methods and technologies within the regulatory framework.

Our approach focuses particularly on the following three dimensions:

  • regulatory: understanding the strategic dimension of regulation
  • infrastructure & technology: seeing the potential and limitations of your current set-up
  • business: learn about your current and future business opportunities

Your benefits

Overview and guidance based on a holistic strategy paper on:

  • overview and orientation
  • technology (solutions provider research, conceptualization, implementation)
  • regulatory & compliance (laws and regulations)
  • legal (contracts, forms)
  • customer-centricity (design, usability)

RegTech search & deploy

Our RegTech search & deploy services are designed to find you the best possible solution for your requirements. We draw on our extensive global database of RegTech firms, our hands-on experience as an implementation partner to financial institutions internationally, and our global network within PwC, across industries and in the RegTech field.

Our search & deploy service is based on a proven approach:

  • search: scoping & finding
  • design: streamlining and standardization
  • deploy: technology implementation plus legal & regulatory check

Your benefits

We help you find industry-leading solutions:

  • solutions tailored to client needs
  • implementation support on the regulatory and technology side
  • improved design & usability
  • modular and agile working method
  • legal & regulatory support

Compliance automation

Our compliance automation service helps you analyse, improve and automate your processes on the basis of the best and most suitable methods. Your legal, compliance, risk and business functions will all benefit.

We use a proven three-step approach:

  • analysis: documentation & scoping
  • design: streamlining & standardization
  • automation: technology selection & implementation

Your benefits

Compliant end-to-end solutions:

  • regulatory & technology expert check
  • improved design & usability
  • efficient and effective delivery
  • modular and agile working method

FinTech-Bank connector

A recent survey by the Swiss National Bank on digitalisation and FinTech at Swiss banks revealed that banks expect a strong level of digitalisation in financial intermediation. This development is seen by the industry as a source of opportunities, particularly with regard to cutting costs and improving service quality. It also shows that banks see FinTechs as partners given their agility, size and specialised focus. Last but not least, FinTechs often provide new and improved customer experiences with the ability to go quickly to market.

Our proven approach for this service is based on:

  • our professional experience as PwC Legal service providers
  • the inclusion of our experts from PwC’s Experience Centers
  • PwC's global network, its incubators/accelerators and partner firms

Your benefits

We help you as FinTech-Bank Connectors to:

  • match FinTechs with banks according to their preferences,
  • guide you to sandboxes with API and test data
  • provide legal/compliance and FinTech/RegTech expertise
  • provide specialised know-how on customer experience, design thinking, API, cloud, data

SME compliance buddy

Our passionate team serves you as your SME compliance buddy, enabling small and medium-sized enterprises (SMEs) to benefit from solutions to multiple compliance challenges. These include AML/KYC, fraud, whistleblowing, governance, conduct, policy and process implementation, data protection, economic sanctions, fair competition and criminal liability.

Our approach focuses particularly on:

  • solving your issues and ensuring compliance
  • enabling business opportunities
  • developing and supporting a sustainable culture across the firm

Your benefits

We help you:

  • Manage regulatory requirements and compliance imperatives by identifying the impacts of regulatory provisions on business models, products and services, functional activities, policies, operational procedures and controls
  • Control and manage your regulatory, financial and non-financial risks
  • Handle business systems and data efficiently and compliantly
  • Harness business opportunities and strategic and competitive advantages
  • Tackle multiple challenges in our role as highly experienced legal and compliance professionals

Get in touch with our expert

Further insights
RegTech for Regulatory Change 

Read the interview with David Bundi, Head of RegTech at PwC Switzerland, on how to plan and deliver RegTech projects, published in RegTech Report by Burnmark.

Read the interview here

RegTech - The new reality 

An article by David Bundi, Head of RegTech at PwC Switzerland, published in Newsradar on the role of RegTech in today's business environment.

Read the article in German

Read the article in French

Contact us

Dr. Günther Dobrauz

Dr. Günther Dobrauz

Partner and Leader Legal, PwC Switzerland

Tel: +41 58 792 14 97

David Bundi

David Bundi

Director, Head of Compliance, RegTech & LegalTech, Legal, PwC Switzerland

Tel: +41 79 625 58 20