Course Offering: AVELALAW AG – Initial training in the field of FINSA Rules of Conduct

COURSE OFFER­ING: AVE­LALAW AG – Ini­tial Train­ing Course for Client Advis­ers in the Field of Rules of Con­duct accord­ing to FINSA 
AVE­LALAW AG is an accred­it­ed provider of an ini­tial train­ing in the field of FIN­SA Rules of Conduct 
AVE­LALAW AG (“AVE­LALAW”) offers an ini­tial train­ing course for client advis­ers who must be entered in a Reg­is­ter of Advis­ers in accor­dance with Art. 28 et seq. of the Fed­er­al Act on Finan­cial Ser­vices of 15 June 2018 (“FIN­SA”). To this end, AVE­LALAW has been accred­it­ed by BX Swiss AG, one of three FIN­MA-approved Reg­is­tra­tion Bod­ies, as a provider of an accept­ed ini­tial train­ing in the field of the FIN­SA Rules of Con­duct and has been added to the cor­re­spond­ing list of BX Swiss AG 

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Client Advis­ers’ Duty to enter in the Reg­is­ter of Advisers 

Client advis­ers of Swiss finan­cial ser­vice providers not sub­ject to super­vi­sion as well as of cer­tain for­eign finan­cial ser­vice providers may only car­ry out their activ­i­ty in Switzer­land if they are entered in a Reg­is­ter of Advis­ers. This reg­is­tra­tion require­ment applies in par­tic­u­lar to client advis­ers who pro­vide finan­cial ser­vices that are not in them­selves an activ­i­ty requir­ing autho­riza­tion, for instance invest­ment advice or the acqui­si­tion or dis­pos­al of finan­cial instru­ments for clients (for­mer­ly known as “dis­tri­b­u­tion”).

The Reg­is­ter of Advis­ers is main­tained by Reg­is­tra­tion Bod­ies approved by the Swiss Finan­cial Mar­ket Super­vi­so­ry Author­i­ty FIN­MA. Approved Reg­is­tra­tion Bod­ies are BX Swiss AG, Zurich, PolyReg Ser­vices GmbH, Zurich, and the Asso­ci­a­tion Romande des Inter­mé­di­aires Financiers (ARIF), Geneva.

The con­di­tions for reg­is­tra­tion in the Reg­is­ter of Advis­ers are met by any­one who can pro­vide the fol­low­ing evidence:

  • the exis­tence of a pro­fes­sion­al indem­ni­ty insur­ance or of equiv­a­lent collateral;
  • affil­i­a­tion to an Ombudsman’s Office (as far as no exemp­tion applies);
  • absence of exclu­sion cri­te­ria (rel­e­vant crim­i­nal con­vic­tion, activ­i­ty ban, ban on prac­tic­ing a profession);
  • Exis­tence of the required knowl­edge accord­ing to art. 6 FIN­SA, i.e. (i) the pro­fes­sion­al exper­tise required to per­form the activ­i­ties and (ii) suf­fi­cient knowl­edge of the rules of con­duct set out in the FIN­SA for ren­der­ing finan­cial ser­vices. There­by, pro­fes­sion­al exper­tise and knowl­edge of the rules of con­duct must be evi­denced separately.


AVE­LALAW will be pleased to assist you if you are in doubt whether or not you are sub­ject to the duty to reg­is­ter as well as with the reg­is­tra­tion itself.

Course Offer­ing: AVE­LALAW AG – Ini­tial train­ing in the field of FIN­SA Rules of Conduct 

As men­tioned, AVE­LALAW has been accred­it­ed by BX Swiss AG as provider of the course “AVE­LALAW AG – Ini­tial Train­ing in the field of FIN­SA Rules of Con­duct”. This means that the com­ple­tion of the course, i.e., the cer­tifi­cate issued upon com­ple­tion, is accept­ed by BX Swiss AG, but also by the oth­er Reg­is­tra­tion Bod­ies, the Polyreg Ser­vices GmbH and the ARIF, as proof of the nec­es­sary knowl­edge in accor­dance with Art. 6 FIN­SA in the field of the FIN­SA Rules of Conduct.

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Train­ing insti­tute / Place:

Ave­laLaw AG, Fraumün­ster­strasse 15, 8001 Zurich 

Nature of the course:

Class­room course “Ini­tial Train­ing in the field of FIN­SA Rules of Con­duct” in the busi­ness premis­es of AVE­LALAW with a max­i­mum of 4 par­tic­i­pants per course. The knowl­edge trans­fer is car­ried out by one of AVELALAW’s partners.

Upon request, the course may be held over video con­fer­ence. If there are at least 4 par­tic­i­pants, we will glad­ly hold the train­ing in your busi­ness premises.

Dura­tion of the training: 
one half day (4.5 hours)
Course language: 
Ger­man; upon request, also in English
Course dates: 
each of the fol­low­ing days from 8.30 to approx­i­mate­ly 13.00 o’clock and, for groups of at least 4 par­tic­i­pants, by indi­vid­ual arrangement

Wednes­day, 5 Jan­u­ary 2022

Fri­day, 14 Jan­u­ary 2022

Fri­day, 21 Jan­u­ary 2022 (in English)

Fri­day, 4 Feb­ru­ary 2022

Fri­day, 11 Feb­ru­ary 2022

Fri­day, 4 March 2022

Fri­day, 11 March 2022

Fri­day, 25 March 2022

Fri­day, 1 April 2022

Fri­day, 8 April 2022

Fri­day, 6 May 2022

Fri­day, 13 May 2022

Fri­day, 20 May 2022

Fri­day, 3 June 2022

Fri­day, 10 June 2022

Fri­day, 17 June 2022

Fri­day, 24 June 2022

Fri­day, 1 July 2022

Fri­day, 8 July 2022

Fri­day, 15 July 2022

Course fee per person: 

For one par­tic­i­pant:
CHF 620.- (+VAT, if any)

For two par­tic­i­pants:             
CHF 550.- (+VAT, if any)

From three par­tic­i­pants:        
CHF 490.- (+VAT, if any)

Form of evidence: 
Course par­tic­i­pants will receive a per­son­al­ized cer­tifi­cate which will con­firm the course atten­dance, date, dura­tion and con­tent of the course.
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Intro­duc­tion:

  • Def­i­n­i­tion „finan­cial ser­vices“ / dis­tinc­tion from the „offer“ con­cept / dis­tinc­tion from „adver­tis­ing“ (spe­cial focus on dis­tri­b­u­tion of invest­ment funds, new­ly “offer”)
  • Finan­cial instruments
  • Client seg­men­ta­tion; opt­ing-in / opting-out

40’

Rules of Con­duct in the nar­row­er sense (pur­suant to art. 7–19 FINSA)

  • Duty to pro­vide information
  • Appro­pri­ate­ness and suit­abil­i­ty test for invest­ment advice or port­fo­lio management
  • Doc­u­men­ta­tion and ren­der­ing of account
  • Trans­paren­cy and care in client orders; incl. best execution

60’

Con­flicts of inter­est (par­tic­u­lar­ly own-account trans­ac­tions and retrocessions)

30’

COF­FEE BREAK

[15’]

Intro­duc­tion to the Reg­is­ter of Advis­ers; par­tic­u­lar­ly adviser’s duties

20’

Finan­cial Insti­tu­tions Act (FINIA): Intro­duc­tion / activ­i­ties which require authorization

20’

Ombudsman’s Office

15’

Agency mat­ters (Code of Obligations)

15’

Col­lec­tive Invest­ment Schemes Act: par­tic­u­lar pro­vi­sions on for­eign col­lec­tive invest­ment schemes

20’

Prospec­tus and Key Infor­ma­tion Doc­u­ment (KID)

20’

Q&A

30’

Total (break not included)

270’

Reg­is­ter

COURSE OFFERING: AVELALAW AG – Initial Training Course for Client Advisers in the Field of Rules of Conduct according to FINSA

Name(Required)
Address(Required)
Which course dates do you want to reg­is­ter for?(Required)
IMPOR­TANT NOTE(Required)
We kind­ly ask you to make any sub­se­quent requests for post­pone­ment as soon as pos­si­ble. If you can­cel on Mon­day or Tues­day of the week in which the course date falls, half of the course fee will be charged. If you can­cel on or after Wednes­day of that week, the entire course fee will be charged. Of course, we always try to find a flex­i­ble solu­tion. We thank you for your reg­is­tra­tion and wish you an inter­est­ing and enter­tain­ing course!
This field is for val­i­da­tion pur­pos­es and should be left unchanged.