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Glossary

Adviser Register

The Adviser Register is a publicly accessible directory in which client advisers of financial services providers must be registered before they may provide Investment Advice or Discretionary Asset Management for private clients in Switzerland. The registration requirement follows from Art. 28 ff. FinSA.

At a glance

01

Registration is required for all client advisers who work for institutions not subject to financial market supervision and who provide FinSA services (Art. 28 para. 1 FinSA).

02

Requirements include: sufficient knowledge (proof of training), professional indemnity insurance or equivalent security, and an unblemished reputation.

03

The register is maintained by a registration body recognised by FINMA; entries are publicly accessible.

Frequently asked questions

Client advisers of institutions already subject to FINMA supervision, such as banks or supervised Independent Asset Managers under FinIA (Financial Institutions Act), are exempt from the Adviser Register requirement. The registration obligation under Art. 28 FinSA applies primarily to advisers at unsupervised financial services providers.

Part of the topic

Finanzberatung

Sources: FINMA · Systematische Rechtssammlung (fedlex)