Asset Management / Investment Advice

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

1. 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

• Private Wealth Management-/Asset Management
• Fund intermediation

Basics and Asset Classes

• Financial Markets and Economics
• Equity Securities
• Fixed Income Securities
• Alternative Asset Classes
• Pooled Investment Vehicles
• Derivatives
• Structured Products