Ombudsman Affiliation Service
ASR wishes to inform you that we have selected FINOS www.finos.ch as the preferred Ombudsman for our clients.
We believe FINOS will provide an efficient and cost-effective solution.
We propose to undertake the annual ombudsman affiliation process for your company to cover 2020 and 2021.
If you wish ASR to undertake the Ombudsman affiliation for your company, please contact us.
We will start processing applications in October to avoid the December backlog in light of the 24 December 2020 deadline.
Once affiliated with FINOS, a confirmation of affiliation will be sent by email to the designated compliance/legal person at your company.
For further information and questions kindly revert to Anne and the team on email@example.com
Client Segmentation Service
ASR will assist in performing the mandatory client segmentation for Managers.
ASR will obtain all necessary certifications from clients/investors including, as applicable, various opting in, opting out declaration and waiver provision.
You will be able to search by client name, receiving confirmation of status and compliance requirements.
In the event the specific client is not on the CS database, you can request ASR to perform the classification.
You will have access to an online database of Swiss clients/investors classified according to the client segmentation rules (“CS database”).
ASR’s CS database is dynamic and will be updated on an ongoing basis.
FINSA rules compliance service
The deadline for compliance is 31 December 2021
ASR offers the full FINSA compliance solution service comprising of:
Ombudsman affiliation service (required by 24 Dec 2020)
Client segmentation process via access to a client database
Ongoing compliance requirements
Application of the rules depends on client segmentation
Code of conduct
Validation of compliance:
Legal opinion from Swiss law firm
Ongoing CISA compliance assessment.
ARM Swiss Representatives SA
Route de Cité-Ouest 2, 1196 Gland – Switzerland.
For Compliance services contact:
T: +41 22 354 25 33
M: +41 78 892 92 97
For Distribution services and ASR Link contact:
T: +41 22 354 25 32
M: +41 79 138 02 32