page-icon
Compliance Outsourcing

Your solution for changing regulatory requirements

New requirements for asset managers

The Collective Investment Schemes Act (CISA) as well as the upcoming Financial Institutions Act (FinIA) and the Financial Services Act (FinSA) impose the requirement of an appropriate organizational structure on asset managers.

Segregation of duties between asset management and Compliance

An appropriate organizational structure implies a segregation of duties between client advisory or asset management functions and Compliance, risk management and internal control functions.

Compliance Outsourcing

Appropriate qualifications

In addition, all individuals who perform the above mentioned functions must be appropriately educated and professionally qualified.

Outsourcing the Compliance function

Given that many asset managers neither dispose of sufficient staff nor of the required professional qualifications to ensure an independent and appropriately qualified Compliance function, the legislator stipulates that the Compliance function can be outsourced to an external service provider.

Advantages of an outsourced Compliance solution

By outsourcing the Compliance function to Compliance Group we help you to become fully compliant with all regulatory requirements that apply to you and enable you to focus on your core competences.

An outsourced Compliance solution has the following additional advantages:

  • Cost efficient
  • Ensuring an appropriate organizational set-up
  • Your Compliance Officer is regulary on-site and can always be reached by telephone or e-mail

Activities of Compliance Group

It is up to you to define which activities should be performed by us as your outsourced Compliance function. This can include the following activities:

Compliance Outsourcing

Contact

Compliance Group AG
Gartenstrasse 4
6300 Zug
Schweiz

T +41 41 820 28 28
F +41 41 820 28 46

info@compliancegroup.ch
www.compliancegroup.ch

© Compliance Group 2016