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 

Click on the but­ton to load the con­tent from www.regservices.ch.

Load con­tent

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.

Edit Con­tent

Aus­bil­dung­sein­rich­tung

Ave­laLaw AG, Fraumün­ster­strasse 15, 8001 Zürich

Art des Lehrgangs

Präsen­zkurs «Erstaus­bil­dung im Bere­ich der Ver­hal­tensregeln nach FID­LEG» in den Geschäft­sräum­lichkeit­en der AVE­LALAW mit max­i­mal 4 Teil­nehmern pro Kurs. Die Wis­sensver­mit­tlung erfol­gt durch einen der Part­ner der AVELALAW.

Auf Wun­sch kann der Kurs über Videokon­ferenz abge­hal­ten wer­den. Bei min­destens 4 Teil­nehmern hal­ten wir die Schu­lung auch gerne in Ihren Geschäft­sräum­lichkeit­en ab.

Dauer der Ausbildung

ein Halb­tag (4.5 Stunden)

Kurssprache

Deutsch, auf Wun­sch auch Englisch

Kurs­dat­en

jew­eils an fol­gen­den Tagen von 8.30 – ca. 13.00 Uhr, sowie für Grup­pen von min­destens 4 Teil­nehmern nach indi­vidu­eller Vereinbarung

Fre­itag, 19. August 2022

Fre­itag, 2. Sep­tem­ber 2022

Fre­itag, 16. Sep­tem­ber 2022

Fre­itag, 30. Sep­tem­ber 2022

Fre­itag, 21. Okto­ber 2022

Fre­itag, 4. Novem­ber 2022

Fre­itag, 18. Novem­ber 2022

Fre­itag, 2. Dezem­ber 2022

Fre­itag, 16. Dezem­ber 2022

Kurskosten pro Person

Bei einem Teil­nehmer:
CHF 620.- (+MWSt)

Bei zwei Teil­nehmern:
CHF 550.- (+MWSt)

Ab drei Teil­nehmern:
CHF 490.- (+MWSt)

Form des Nachweises

Die Kursteil­nehmer erhal­ten ein per­sön­lich­es Zer­ti­fikat, mit welchem der Kurs­be­such, das Datum, die Dauer und der Inhalt des Kurs­es bestätigt wird.

Edit Con­tent

Ein­führung:

  • Def­i­n­i­tion Finanz­di­en­stleis­tung / Abgren­zung zum Ange­bot / Abgren­zung zur Wer­bung (spezieller Fokus auf Fondsver­trieb, neu Angebot)
  • Finanzin­stru­mente
  • Kun­denseg­men­tierung; opt­ing-in / opt­ing-out
40’

Ver­hal­tensregeln im engeren Sinn (gemäss Art. 7–19 FIDLEG)

  • Infor­ma­tion­spflicht
  • Angemessen­heits- und Eig­nung­sprü­fung bei Anlage­ber­atung und ‑ver­wal­tung
  • Doku­men­ta­tion und Rechenschaft
  • Trans­parenz und Sorgfalt bei Kun­de­naufträ­gen; inkl. Best Exe­cu­tion
60’

Inter­essenkon­flik­te (ins­beson­dere Mitar­beit­ergeschäfte und Retrozessionen)

30’

KAF­FEEP­AUSE

[15’]

Ein­führung ins Berater­reg­is­ter, insb. Pflicht­en des Kundenberaters

20’

Finanzin­sti­tutsge­setz (FINIG): Ein­führung / Bewil­li­gungspflichtige Tätigkeiten

20’

Ombudsstelle

15’

Auf­tragsrecht (Oblig­a­tio­nen­recht)

15’

Kollek­ti­van­lagege­setz: spezielle Vorschriften für aus­ländis­che kollek­tive Kapitalanlagen

20’

Prospekt und Basis­in­for­ma­tions­blatt (BIB)

20’

Fra­gen & Antworten

30’

Total (ohne Pause)

270’

Reg­is­ter

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

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.

Your Contact