Compliance with FinSA and FinIA

Strategic Advisory for Financial Advisors and for Asset Managers
who need to comply with FinSA and FinIA.


Prior to setting up their company, Action Finance provides strategic advice to the shareholders and/or the management of the company and advises them on all aspects from A to Z (management of risks, fight against money laundering, regulatory compliance and logistics) in view of its incorporation and the startup of operations, as well as for its restructuring in order to requesting a license from FINMA.

For clients established abroad who wish to set up a presence in Switzerland, Action Finance can act as the central coordination point.

services offered


  • Advice as to strategy and business models
  • Personalized advice for the Financial Advisor (not subject to FinIA)
  • Recommendations and preparation during the request of the license to be approved by FINMA
  • AML Compliance: advising the AML Officer on his communication duties to MROS, monitoring of the Central Register, preparation of the AML audits
  • Monitoring of the Risk Management performed by the Asset Manager’s company
  • Tactical analysis of the contractual documentation
  • Provision of assistance to the company in selecting and negotiating with counterparties, organizing the front and back office, compliance with the regulations
  • Independent Member of the Board of the Asset Manager (to be agreed)