External Asset Managers in Switzerland are underdoing an authorisation process with FINMA until December 2022.
Thereby, their organization needs to comply with a number of requirements for investor protection. By working with lawyers, auditors and clients, WealthArc has built a thorough compliance framework for FinSA. Building on automation and digitalization, WealthArc minimizes manual tasks and centralizes all FinSA workflows on one platform.
Whether you are an organisation of 3 or of 50 people, with WealthArc you can rest assured that your investment process is fully compliant with FinSA.
Less manual work thanks to the automation of day-to-day compliance processes
Store all contracts and documents in digital format within our CRM module. Why? Easy monitoring of document management, quick access to relevant documents during client meetings or audits. Also, all Client interactions can be recorded with dedicated note. In addition, the full history of transactions, trade orders and executions will be 2 clicks away.
As per FinSA and AML-regulation, notes and documents cannot be amended by users after 30 days. For example, client meeting notes and investment decisions will be frozen after 30 days.
You will have a separate guidelines to track issuer and instrument allocation. Thereby, you can define the guidelines, alerting you in case of breaches.
Is this investment in line with the clients risk appetite? Our advanced pre-trade checks automatically verify suitability of each trade. You will have full transparency of all transactions, regardless of the type of transaction.
You can now justify and reject guideline breaches with the notes function. For full transparency on each trade.
Classify your clients according to FinSa client segmentation, including opt-in and opt-out. With just 3 clicks.
You can attach the KID document to each instrument. This is particularly relevant for advisory mandates and high-risk investments.
Novelty in Switzerland! Digitalize your client onboarding process and customize your questionnaires directly in WealthArc You may apply a custom calculation methodology to define the risk, suitability, and appropriateness of each client.. Your clients’ investment profile will determine the investment and pre-trade process within WealthArc.
Easily export the following client information with a few clicks in PDF format : client details, client relations, client documents, client notes.
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We set up your Microsoft servers and create logins, upload your logo, asset tree, investment guidelines, and strategies in the system.
Your dedicated onboarding
team opens the connections to
your custodian banks.
We upload your portfolio data in the system from an Excel template.
We support migration of your entire CRM data at additional cost.
We provide the necessary
training online for all users of
the application.
Each client has a dedicated
point of contact within our
customer success team. Your
satisfaction will be regularly
assessed.
We provide dedicated Customer Support for all our users. Would you like to talk to one of our experts or have free demo session?
Contact Us