Financial Services Act (FinSA) refresher sustainability/ESG FOCUS

This course is recognised by all three FINMA-approved registration authorities BX Swiss (RegServices), ARIF, PolyReg (Reg-Fix).

COURSE CONTENT

The course covers the topics required for the renewal of the registration as a Swiss investment/client adviser under the Financial Services Act (FinSA).

• Code of conduct rules
• Conflicts of interest
• Client segmentation
• FinSA and Collective Investment Schemes Act (CISA)
• Sustainability/ESG: Sustainable Investment approaches; Swiss regulatory overview; European regulatory overview
• Key aspects from the Code of Obligations and relevant Jurisprudence
• Checklists for day-to-day use

You can refer to this FinSA-ESG Course brochure with full details.

target audience

The course is designed for investment/client advisers as well as wealth managers based in Switzerland or abroad, subject to the Swiss Financial Services Act. 

Course Specifications

Format: Online course with videos (predominantly) and selected short scripts.

Length: ca. 2.5h including videos, active reading materials, final review exam.

Certificate/confirmation: a confirmation will be issued subject to passing the review exam. The exam can be re-taken a maximum of two times (hence, three attempts in total), at no additional cost.

Cost: CHF 250.