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Independent managers are subject to an imposing legal arsenal in relation to their size. We offer you a clear and organized system that meets these requirements in a pragmatic and proportionate way.
Collective asset managers are subject to sophisticated Swiss and international regulations. CLARITIS offers a global solution that meets all these requirements
Brokers and banks are subject to particularly complex regulations. CLARITIS has extensive experience in this field, and adapts its solutions to your specific needs.
Independent managers are subject to an imposing legal arsenal in relation to their size. The need to be authorized by FINMA means, among other things, that they have to draw up new contractual documentation, comply with the provisions of various internal directives, set up a risk management and internal control system, and ensure the “Suitability” and “Appropriateness” of their investments.
The Trustees, although not subject to the Financial Services Act, will also have to be subject to FINMA, undergo a new prudential audit, and have their own risk management and internal control systems.
CLARITIS offers a global solution that meets all these requirements.
Our range of services for asset managers and trustees:
Preparation of a structured file and obtaining authorization from FINMA.
Implementation of LSFin and LEFin, taking into account your size and organization.
Pragmatic implementation of a compliance and risk management function
Provision of independent, competent Board members
Collective asset managers are subject to stringent Swiss regulations. What’s more, the latter are frequently required to comply with a range of cross-border rules (UCITS, MIFID II, GDPR, SFDR, etc).
Finally, FINMA requires them to have robust risk management and internal control systems, including qualitative and quantitative criteria, as well as independent risk management and compliance functions.
CLARITIS offers a clear and organized system that meets these requirements in a pragmatic and proportionate way.
Our range of services for collective asset managers :
Advice on selection of structure, ManCo, jurisdiction.
Preparation of a structured file, guidelines and organization. Follow-up until FINMA authorization is obtained
Set up a system to manage the obligations arising from the AMLA, LEFin, LSFin, LIMF and the applicable FINMA circulars.
implementation of UCITS, GDPR, MIFID II rules, etc.
Definition of risk appetite, development of a risk and control matrix, implementation of an internal control system.
Monitoring regulatory developments, reporting to management and implementing new standards.
Brokers and small banks are subject to highly complex regulations. LSFin, LEFin, OFR, OLIQ, LIMF, LBA, all the ordinances and more than 20 FINMA circulars: hundreds of pages of rules on which these establishments are audited every year.
Drawing on their experience of over 15 years with banks and traders, the founders of Claritis have developed a set of tools to ensure compliance with these rules.
Our range of services for securities firms and small banks:
Set up a system to manage the obligations arising from the LSFin, LEFin, OFR, OLIQ, LIMF, LBA and applicable FINMA circulars.
Monitoring regulatory developments, reporting to management and implementing new standards.
submission of a summary report assessing the plant’s compliance.
8 rue Saint-Léger,
1205 Geneva, Switzerland
