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Compliance

Ensure Compliance with FinSA (FIDLEG/LSFin)

WealthArc’s purpose is to keep you compliant and give you back time for matters most: your clients and growing your assets.

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.

So why do Compliance Officers and Auditors like WealthArc?

  • Less manual work thanks to the automation of day-to-day compliance processes

  • Get rid of paper work – access documents digitally, anywhere, anytime
  • Automated compliance controls – effortlessly monitor your investment compliance
  • Use digital client questionnaires to automatically determine strategy and risk appetite of your clients.
Provision of Documents
Freezable notes and documents
Allocation per issuer and instrument
Pre-trade checks and transaction record
Notes for guideline breaches

Client Segmentation
Key Information Document (KID)
Customisable questionnaires
Rendering of account
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Fast onboarding process

WealthArc clients enjoy a seamless, just 4-week onboarding period as our team manages the process from end to end. Simply connect us with your bank’s relationship manager, and we’ll do the rest.
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Initial setup
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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.

48 hours
Connect to custodian
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Your dedicated onboarding
team opens the connections to
your custodian banks.

2-3 weeks
Portfolio data upload
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We upload your portfolio data in the system from an Excel template.

2-3 days
CRM migration
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We support migration of your entire CRM data at additional cost.

estimation required
Kick off and user training
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We provide the necessary
training online for all users of
the application.

4-5 weeks
Success
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Each client has a dedicated
point of contact within our
customer success team. Your
satisfaction will be regularly
assessed.

Success

There are people behind our technology!

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
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