Competence

Specialising in your success

Our expertise – and how you can benefit from it

Asset management is becoming ever more complex. To succeed in a fierce competitive environment you will need specialised skills in Risk Management, Compliance and IT. We bring together these skills in an intelligent way and make them available to you as and when you need them. The following examples show exactly how you as an asset manager can benefit from the skills of our experts.

On-boarding onto the IT platform

We will provide you with a powerful IT platform with which to manage your client and portfolio data. It combines portfolio management and CRM features, and it supports you with workflows and keeps you up to date, including when you are on the move. The platform also has interfaces to all of the well-known custodian banks. To ensure that you can work smoothly and efficiently from the outset, we will set up the platform for you and do all of the implementation work right away.


More efficiency with our comprehensive and integrated platform for customer relationship management (CRM) and portfolio management

As a Swiss asset manager, you look after a large number of individual asset management and investment consulting clients – some of them perhaps even via a unit abroad. Your clients hold accounts at different custodian banks, which means you receive data relating to transactions and positions from a variety of sources. On top of all that, your previous system needs replacing – but without any interruptions. Imminent regulatory changes need to be included in the new system’s functions as required and as legally needed.

SwissComply offers you a comprehensive and integrated platform for customer relationship management and portfolio management, with the following primary functions:

  • Drawing up a business analysis to determine client needs and priorities
  • Project planning aimed at jointly setting up an IT platform
  • Identifying risks and defining activities
  • Close collaboration and regular updates on the status of projects
  • Mandatory elements of client data (identification, master data, contractual data, KYC etc.)
  • Robustness and stability in relation to adaptation needs
  • Integrated workflows
  • The ability to depict processes and adapt them to client needs – e.g. in terms of different user profiles, additional fields and so on

Our platform – your solution:

  • Efficient administration of numerous clients and portfolios
  • Used by multiple client consultants in daily consultancy work, and by Compliance and Risk Management in exercising their client-based activities (e.g. Money Laundering Act, adhering to asset allocation etc.)
  • Logical separation of different units and the option of extending as part of a growth strategy
  • Different reporting functions
  • Regular data backups and fulfilling the requirements of Business Continuity Management

„SwissComply’s IT platform is widely accepted by client consultants because it is easy and logical to operate and it combines client data with portfolio data. The switch made our client documentation more efficient and more uniform, and made our processes much more effective.”

FINMA approval

If you manage collective investment schemes as an asset manager based in Switzerland, you will need approval from the Swiss Financial Market Authority (FINMA). We have lots of experience and have successfully completed a large number of approval applications. Our chief auditors ensure the regulatory compliance of our clients on a daily basis. This means we are ideally equipped to help you successfully submit your application to FINMA as an asset manager of collective investment schemes.


How to easily obtain KAG approval from FINMA

As a Swiss asset manager, you manage foreign collective investment schemes whose investors are categorised as qualified investors under the Swiss Collective Investment Schemes Act (Kollektivanlagengesetz, KAG), and whose total AuM (taking leverage effects into account) do not exceed CHF 100 million. But because you have been so successful, it is now likely that the assets you manage in collective investment schemes will exceed the 100 million AuM mark. As a result you need to apply as quickly as possible to FINMA for approval as an asset manager of collective investment schemes. And this involves knowing and fulfilling a lot of different laws and requirements.

As a specialist in the FINMA application process, SwissComply can help you as follows:

  • Status analysis for the purpose of drawing up and tailoring a concept
  • Assistance in fleshing-out structural and procedural organisation (adapting statutes, organisational regulations, organigram, internal instruction procedures, setting up internal monitoring system etc.)
  • Implementing appropriate corporate governance (Administrative Board, Management, qualified participants and so on)
  • Help in defining outsourced activities and then selecting external partners (accounting, IT, risk management, compliance, application auditors, financial auditors etc.)
  • Developing the approval application (incl. drawing it up in part) and the necessary annexes to the application
  • Advice on own resources and drawing up a budget
  • Conducting any necessary legal investigations and contractual amendments
  • Coordination point between and inclusion of the parties involved
  • Contact point for FINMA and auditors

We will gladly assist you in applying for other FINMA licences (as a fund management company, limited partnership for collective investment schemes [Kommanditgesellschaft für kollektive Kapitalanlagen – KGK], distributor, representative, bank, securities broker).

Our chief auditors – your consultants:

  • Lots of experience in drawing up different approval applications
  • Lots of experience in checking approval applications
  • Team of specialists, especially in the fields of risk management, compliance, IT and general regulatory and annual-financial-statement-related issues
  • Detailed knowledge of the requirements of FINMA and comprehensive knowledge of pending regulatory amendments
  • SwissComply, a smaller company with clear structures, offers plenty of flexibility and high-quality services

„We really appreciated SwissComply’s expertise, experience, hands-on mentality and constructive and solution-oriented way of working with us. We easily passed FINMA’s completeness check and, after a few queries from FINMA and an interview at which SwissComply energetically assisted us, we became the holders of KAG approval. That’s why we unreservedly recommend SwissComply to others.”

Compliance Officer

As an independent asset manager you are confronted with a growing number of regulatory provisions. And that makes Compliance rules tougher. Regulatory bills envisage a strict separation between executive and supervisory functions. What this means is that Compliance can no longer be delegated to customer consultants. But for most companies, employing a dedicated officer and deputy is neither practical nor affordable. The solution: SwissComply can fulfil all of your Compliance requirements for you – as and when you need them, cost-effectively, to an appropriate level of complexity, and reliably.

Securities master maintenance

Our backoffice specialists maintain your securities master in line with industry standards and your particular requirements. A high-quality assessment of restrictions can be achieved by including appropriate fine-categorisation and obtaining comprehensive data from different suppliers. This pays off in scenarios such as investment governance and suitability/appropriateness assessments. Non-standard banking assets such as property and different kinds of collections can also be included in your securities master and easily integrated into portfolios.

Make use of our expertise to help your business succeed.

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