Get your strengths into gear

With our intelligent assistance system for asset managers

We can escort you into the future of asset management with a comprehensive and intelligent assistance system. It links together all of the relevant information, provides you with the best possible overview, and warns you of any hold-ups before they even come into view. And you keep your hand firmly on the wheel and make your own decisions at all times. SwissComply provides you with the support you need to preserve your independence and reach your destination safely.

Our approach: well-rounded yet modular

We combine intelligent technology, sound knowledge and personal advice to offer a customised, solution-oriented service for asset managers.

Our solutions are well-rounded yet modular. Well-rounded, because the various components interlock perfectly and are tailored to one another so that they work together efficiently. Modular, because we tailor what we offer to your needs: you can choose between our complete service and separate components.


The SwissComply principle: we provide comprehensive support – you focus on your core business and succeeding.

Compliance engenders trust

We provide you with a personal Risk & Compliance Officer

What we offer in Compliance & Risk Management

  • Regulatory screening
  • Legal services/consulting
  • Training courses (e.g. Money Laundering Act, cross-border, internal instruction procedures)
  • Drawing up and maintaining internal instruction procedures
  • Complying with reporting obligations
  • Money Laundering Act department including transaction monitoring
  • Internal monitoring system
  • Client compliance (CRM, KYC)
  • On-boarding processes
  • Cross-border
  • Sales
  • Investment compliance (incl. pre- and post-trade-check processes)
  • Updating rule sets
  • Investment governance
  • Risk analyses
  • Reporting to Management and Administrative Board
  • Risk figures
  • Investment and operations risks
  • Approvals (e.g. KAG approval)

The challenge

Switzerland is in the process of fundamentally revising its financial market law to bring it in line with European standards. New bills are already being debated in Parliament. The Financial Institution Act (FINIG) will provide a new framework for approval requirements and organisational demands as well as internal processes, while the Financial Services Act (FIDLEG) will define detailed regulations governing relationships between financial institutes and their clients in every phase. Fulfilling these new regulations will present considerable challenges, especially to independent asset managers.

The solution

SwissComply provides you with a personal Risk & Compliance Officer who constantly monitors your compliance with regulatory guidelines and helps you to implement them. Our alert systems warn you if you diverge from current legislation or agreed rules and limits of conduct. Furthermore, standardised processes form a foundation for the effective minimisation of risks, while providing the necessary investor protection. SwissComply offers full Compliance and Risk Management services for the entire client relationship life-cycle, thus enabling superior quality asset management.

The benefits

  • You can rest assured that you will always comply with regulatory conditions. This will allow you to earn your clients’ trust and arm yourself against business risks relating to accidental breaches.
  • You will have cost-effective access to established specialists in Compliance & Risk Management and you will avoid having to invest a lot of money in your own resources.
  • You will be safely set up for the regulatory future, enabling you to better assert your core competence and grasp growth opportunities fully.

Safeguard your business for the future. We will gladly advise you on the subject of Compliance & Risk Management.

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Digitalisation accelerates your business

Optimise your processes with our powerful IT platform

The challenge

Digitalisation is moving quickly into the financial industry. More and more people – especially ‘Digital Natives’ – are turning to algorithms in the form of Robo-Advisors for their investment decisions, and they expect direct digital access to their investments. The importance of the digital world vis-à-vis human knowledge and personal advice is steadily growing. This is increasing the pressure of rivalry and costs in conventional asset management. However, digitalisation offers asset managers excellent opportunities to improve their performance, efficiency and market access. Digitalisation will play a key role in asset management as it does in other industries.

The solution

Use digitalisation to make your business processes more efficient and increase your profitability. SwissComply’s Asset and Wealth Management System combines every conceivable function – from client profiling, to the investment process, to reporting – in one powerful, secure IT platform.

Data is stored and processed exclusively in Switzerland. Standardised dashboards such as portfolio overviews, consolidated views, performance analyses, asset allocation and bond analyses allow you to monitor changes in investments and the influence of market events at all times using your laptop, tablet or smartphone.

The benefits

  • Increase your competitiveness and profitability by bringing together your portfolio management, CRM and KYC processes on one single, powerful IT platform.
  • Recognise trends and challenges sooner, respond more quickly and make better decisions. Thanks to web access with standardised dashboards on your laptop, tablet and smartphone, you can keep a constant eye on important portfolio data and market developments.
  • Combine the benefits of digitalisation with your traditional strengths as a trustworthy, personal point of contact for your clients – this is a recipe for success which will become ever more sought-after as time goes on.
  • You need no additional hardware, nor do you need to worry about updating any software.

Move into the fast lane. Set up a personal consultation and discover everything you need to know about digitalisation.

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High-quality operations are the basis of your success

Rid your working day of time-consuming back office work


What we offer in the Operations area

  • Recording and monitoring transactions
  • Data quality and integrity
  • Assessing content and logic
  • Data enhancement
  • Reporting
  • Securities master maintenance
  • Portfolio master data

The challenge

Greater regulatory demands and more complex investment products are creating more organisational work. Transactions have to be recorded and monitored, positions and balances compared, business cases assessed, securities and assets set up, and your securities master maintained. An abundance of back office work not only makes you more susceptible to making mistakes, it also diverts you from your core business of asset management and client care.

The solution

SwissComply takes care of all your back office work efficiently and cost-effectively. Our experts will monitor the data quality of your Portfolio Management System (PMS) and ensure that all of your transactions are seamlessly recorded and booked. Using interfaces to all of the well-known custodian banks, all of your stocks and even non-standard banking securities such as property and collections can be gathered together in one system, allowing you to do things like directly compare the risk profiles of clients and investments. There is even a pay-off when it comes to auditing: we ensure that your capital-flows, positional values and acquisition values – and your transaction data – are fully and correctly recorded, providing you with the basis for a successful inspection by your auditors.

The benefits

  • You can be sure that your data in the Portfolio Management System will always be transparent, up-to-date and informative.
  • You retain full control of the Portfolio Management System and your data. Your data will never leave Switzerland or the system environment.
  • You save time and resources so that you can dedicate yourself entirely to your core business and make use of growth opportunities.
  • You will benefit from a unique collaborative platform which integrates different data and skill-sets, forming the ideal basis for high-quality financial consulting.

Jettison unwanted ballast. We will gladly explain to you in detail how our operations take the burden off you.

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Perform a Future-Check

Are you well prepared for pending regulations? Are you making use of the possibilities of digitalisation in order to make yourself more competitive? Does your organisational work leave you with enough time for asset management and client care?

Your success and independence as an asset manager will depend on how you answer these questions. We will gladly advise you and work out with you whether and in which areas improvements can be made – free of charge and without commitment, of course.

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