Financial Services Act (FinSA)

Financial Services Act (FinSA)

Making Your Advisory Process FinSA-Compliant

Complying Effortlessly with the Financial Services Act

FinSA is the Swiss counterpart of the European MiFID II Investor Protection and PRIIPs. The Code of Conduct includes a set of rules when offering financial services and distributing financial instruments, with which financial service providers must comply with when interacting with their customers. Client advisors must provide retail investors with Key Information Documents, know the provisions for offering products matching their customer’s risk profile and provide essential information for investment decisions.

SIX has long-standing experience in providing regulatory data and documents, as well as in supporting the industry to comply with directives such as PRIIPs, MiFID II, AIFMD and UCITS. Let us help you turn your challenges with FinSA into your advantage.

Product Suitability in the Investment Process

Find out how SIX can help wealth managers and client advisors monitor the suitability and appropriateness of investment products in order to match them to the investment profile of their clients, and provide them with regulatory documents.

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How You Will Benefit

Single Source of Truth:

Sourcing of data and documents via an integrated platform with easy delivery and integration into your systems.

Facilitating the investment process:

We provide the data you need on a financial instrument level to support the matching of investments to investor profiles. To finally conclude the advisory process, we also provide the required FinSA KIDs for your retail clients.

Tailored to your needs:

To make sure we cover all of your requirements, we brought a working group into life, including manufacturers, distributors and associations, to allow interaction between industry participants, as well as to develop a standardized solution with the industry.

Where can SIX help, support, mitigate pain points?

Within your advisory process, SIX helps you carry out appropriateness and suitability testing easily and as requested by the FinSA Code of Conduct. You can accurately assess product suitability with comprehensive data on instrument level, while complying with obligations to inform clients with corresponding regulatory documents.

With SIX, you can simplify data processing with a single high performance interface and carry out client and suitable financial instrument assessment in a lean and efficient way thanks to on-going monitoring of regulatory developments.

Marcello Solida

With more than 33 million financial instruments and 24 million documents, SIX walks the talk and supports its clients by providing high-quality data for suitability and appropriateness testing and a powerful regulatory document platform.

Marcello Solida, Senior Product Manager, SIX

Do You Want to Know More?

SIX is continuously monitoring the regulations space for updates and adding any relevant information to our data and services. Our experts are happy to answer any questions you might have.

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About This Service

SIX helps you turn your challenges with FinSA into your advantage. Learn more details about the service in this section.

FinSA: Service Overview

Be FinSA-compliant with SIX. We provide you with high-quality data for suitability and appropriateness testing and a powerful regulatory document platform.

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Choose a Holistic Approach to feel confident about the upcoming regulatory challenges

You can either select our full package, or individual modules consisting of data and/ or documents to reduce the compliance burdens under the FinSA requirements.

What you should know about FinSA

3 Reasons Why You Should Be Concerned about FinSA – and 3 Others Why You Don’t Need to Lose Sleep over It. Read more.

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