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Services

Our areas of expertise are banking and securities law, anti-money laundering and counter terrorism financing, cross border issues including registrations and licenses, Swiss FinIA/FinSA regulations, US SEC investment adviser regulations, investments compliance and suitability, market conduct, risk management, corporate governance and ethics.

In these areas, here are a few examples of the services we provide:

Advice

  • Advice to management on compliance and risks

  • Assessment of cross-border issues
  • Training
  • Business strategy support
  • Regulatory watch (updates on new regulation)

  • Operational optimization

Governance

  • Implementation of appropriate corporate governance

  • Design and implementation of compliance programs, monitoring/reports and risk management systems

  • Acting as board member or corporate secretary

Compliance and Risk executive

  • Writing / reviewing internal policies, marketing documents, contracts, general business conditions, by-laws, etc. (all corporate documents)
  • Registrations with supervisory authorities
  • Preparation of audits and other reviews, mock audits
  • Evaluation and launch of investment products
  • Client files review, due diligence including crypto assets

  • Outsourced compliance and risk management (acting as external Chief Compliance and/or Risk Officer for smaller firms)

We work with a network of selected experts to provide you with the best service in each field and have regular contacts with corporate professionals in the industry for benchmarking.

Swiss Compliance Services


info@swisscomplianceservices.com

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Privacy Information

We are committed to protecting your privacy and the confidentiality of your information including your personal data (such as your name, e-mail, phone number, address, job title) and the personal data of your related persons. Such data and all information you share with us or that we gather in the context of our business interactions will be stored on secured servers in Switzerland. We will only use this data to perform our duties as agreed with you, or to offer you additional services. Unless authorized by yourself or required by law, we will keep all information confidential. We do not sell or otherwise transfer your data to third parties. We will store your information for as long as we believe it is necessary to perform our services for you or for our own business purpose. If you do not wish to be offered any services in the future, or would like to access or delete your data, please inform us at info@swisscomplianceservices.com and we will comply. Further details about the management of your data will be described and agreed upon in the written agreements signed by you for our services.