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 - avaliable soon

Client Segmentation
Key Information Document (KID)
Customisable questionnaires
Rendering of account
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We provide dedicated Customer Support for all our users. Would you like to talk to one of our experts or have free demo session?

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