FinSA

Are you already registered as a customer service representative?

If so, you may need to complete a refresher course, available here.

You are not yet registered as a customer service representative?

If so, please read the information below. To be registered in a Swiss client advisor register, client advisors must demonstrate two types of knowledge according to Art. 6 of the Financial Services Act (FINSA). The requirement encompasses the following two points: a) Knowledge of Conduct Rules: Client advisors must have sufficient understanding of the rules of conduct according to the Swiss FinSA. b) Professional Knowledge: In addition, advisors are required to have the necessary professional expertise to act as client advisors. Professional knowledge is about the activity performed by the client advisor (e.g. fund distribution, asset management, investment advice, or execution of orders). The client advisor should also understand the financial instruments (e.g. shares, bonds, structured products, or funds) in relation to which the activity is performed. All client advisors must demonstrate to the Client Advisor Register, that they have the necessary knowledge of the FinSA Conduct Rules by submitting a certificate about passing a recognised course. Professional knowledge can be demonstrated by either passing a course or by providing evidence of sufficient experience to the Client Advisor Register. The Client Advisor Register determines which type of evidence it accepts as proof for sufficient experience. Passing a recognised course is always considered a sufficient proof for professional knowledge. To determine which training course applies to you, click on the box below when you answer “yes” to the question.