The “Client Advisor Register” trainings and exams are designed for client advisors registering themselves for the first time in a Swiss client advisor register. Once registered, client advisors must renew their registration every 2 years. The renewal of the registration requires taking a refresher course. The "FINSA Recertification” training is such a refresher course.

Client Advisor Register (First Time Registration)

Each “Client Advisor Register” course and exam includes the topic “code of conduct” covering the regulatory requirements of FINSA. The trainings and exams with other titles than “code of conduct” include specific topics related to the required professional knowledge. The client advisor register may waive the requirement to provide evidence on possessing sufficient professional knowledge, namely if a person is experienced in advising clients and can proof this with a CV and job-references. In such cases the client advisor register only requires proof of knowledge of the “code of conduct”.

Content of the training

Code of Conduct

An overview on the FINSA code of conduct provisions
Client segmentation
Duty to provide information
Appropriateness and suitability
Documentation and rendering of account
Transparency and care in client orders
Conflict of interest

2. Professional Knowledge

Activities

Fund intermediation

Basics and Asset Classes

Alternative Asset Classes
Pooled Investment Vehicles

Fondsvertrieb

In wenigen Worten

Experte