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Compliance

Ensure Compliance with FinSA (FIDLEG/LSFin)

WealthArc’s purpose is to keep you compliant and give you back time for what matters most: your clients and growing your assets.

External Asset Managers in Switzerland were undergoing an authorisation process with FINMA until December 2022.

Thereby, their organization needs to comply with a number of requirements for investor protection. By working with lawyers, auditors and clients, WealthArc has built a thorough compliance framework for FinSA. Building on automation and digitalization, WealthArc minimizes manual tasks and centralizes all FinSA workflows on one platform.

Whether you are an organisation of 3 or of 50 people, with WealthArc you can rest assured that your investment process is fully compliant with FinSA.

So why do Compliance Officers and Auditors like WealthArc?

Thereby, their organization needs to comply with a number of requirements for investor protection. By working with lawyers, auditors and clients, WealthArc has built a thorough compliance framework for FinSA. Building on automation and digitalization, WealthArc minimizes manual tasks and centralizes all FinSA workflows on one platform.

  • Less manual work thanks to the automation of day-to-day compliance processes
  • Get rid of paper work – access documents digitally, anywhere, anytime
  • Automated compliance controls – effortlessly monitor your investment compliance
  • Use digital client questionnaires to automatically determine strategy and risk appetite of your clients.
Portfolio Management
Client Relationship Management
Compliance
Data security
Experience all the functionalities to stay compliant!

Client Segmentation

Classify your clients according to FinSa client segmentation, including opt-in and opt-out. With just 3 clicks.

Key Information Document (KID)

You can attach the KID document to each instrument. This is particularly relevant for advisory mandates and high-risk investments.

Customisable questionnaires

Novelty in Switzerland! Digitalize your client onboarding process and customize your questionnaires directly in WealthArc You may apply a custom calculation methodology to define the risk, suitability, and appropriateness of each client.. Your clients’ investment profile will determine the investment and pre-trade process within WealthArc.

Rendering of account

Easily export the following client information with a few clicks in PDF format : client details, client relations, client documents, client notes.

Manage wealth with ease - digitize your assets
Experience all the functionalities to stay compliant!

Provision of Documents

Store all contracts and documents in digital format within our CRM module. Why? Easy monitoring of document management, quick access to relevant documents during client meetings or audits. Also, all Client interactions can be recorded with dedicated note. In addition, the full history of transactions, trade orders and executions will be 2 clicks away.

Freezable notes and documents

As per FinSA and AML-regulation, notes and documents cannot be amended by users after 30 days. For example, client meeting notes and investment decisions will be frozen after 30 days.

Allocation per issuer and instrument

You will have a separate guidelines to track issuer and instrument allocation. Thereby, you can define the guidelines, alerting you in case of breaches.

Pre-trade checks and transaction record

You can now justify and reject guideline breaches with the notes function. For full transparency on each trade.

Single, centralized repository