Training course regarding fund distribution, registration with a client adviser register, affiliation with an ombudsman’s office

In ad­di­ti­on to of­fe­ring and ad­ver­ti­sing ac­tivi­ties for funds, "fund dis­tri­bu­ti­on" is al­so re­gu­la­ted in Swit­z­er­land, pro­vi­ded that this ac­tivi­ty qua­li­fies its­elf as a fi­nan­ci­al ser­vice.

In ca­se a fi­nan­ci­al ser­vice is pro­vi­ded, the fol­lo­wing must be con­side­red in­ter alia:

  • the cli­ent ad­vi­ser of a fi­nan­ci­al ser­vice pro­vi­der ac­tive at the point of sa­le in Swit­z­er­land must be re­gi­ste­red in a re­gi­ster of cli­ent ad­vi­sers un­less an ex­cep­ti­on ap­plies;
  • the fi­nan­ci­al ser­vice pro­vi­der must en­su­re that the cli­ent ad­vi­sers ac­tive in Swit­z­er­land pos­sess the ne­cessa­ry ex­per­ti­se and suf­fi­ci­ent know­ledge of the ru­les of con­duct re­qui­red for their ac­tivi­ties;
  • the fi­nan­ci­al ser­vice pro­vi­der must be affi­lia­ted with an om­buds­man’s of­fice (in­clu­ding ta­king out pro­fes­sio­nal lia­bi­li­ty in­suran­ce as re­qui­red by law) un­less an ex­cep­ti­on ap­plies.

FIFS of­fers a prac­tice-ori­en­ted cour­se for cli­ent ad­vi­sors ac­tive in fund dis­tri­bu­ti­on.

In this way you en­su­re that your cli­ent ad­vi­sors be­ha­ve towards Swiss in­ve­stors in ac­cor­dance with the le­gal and re­gu­la­to­ry re­qui­re­ments in Swit­z­er­land. Our trai­ning cour­se is re­cognis­ed by the cli­ent ad­vi­sor re­gi­sters (e.g. regser­ as pro­of of suf­fi­ci­ent know­ledge of the ru­les of con­duct.

In ad­di­ti­on, we of­fer you sup­port in re­gi­ste­ring cli­ent ad­vi­sors and in joi­ning an om­buds­man's of­fice.

In­for­ma­ti­on about trai­ning cour­se