Our mission
We assist foreign fund managers/promoters to market and distribute funds in Switzerland in compliance with local rules.
Our aim is to untangle regulatory complexity by offering simple and efficient compliance solutions.
Our Swiss compliance services at a glance
1. Compliance with the Swiss Financial Services Act (“FINSA”)
2. Compliance with the Collective Investment Schemes Act (“CISA”)
• Swiss representation for UCITS funds offered to private/retail in Switzerland. This requires the fund to be registered with the Swiss Financial Market Supervisory Authority (“FINMA”)
• Swiss representation of Alternative Investment Funds (“AIFs”) offered to elective professionals in Switzerland
3. Active fund distribution services in Switzerland and the EU through FundRock’s Distribution network
General legal principles
FINSA, in force since January 2022, is a promoter-based regulation which requires that fund managers/promoters marketing a fund to Swiss investors/prospects (“Investors”) comply with various obligations as set out below.
CISA, in force since March 2015, is a product-based regulation which requires the appointment of a Swiss Representative (SR) and Paying Agent (PA) by the fund.