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.


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