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Wealth management

B-09-01 FINMA Circ. 09/1 Circular 2009/1: Guidelines for the Recognition of Self-regulation in Asset Management as Minimum Standard
Status as of 1 Aug 2016 Abrogated act FINMA Wealth management
C-09-13 D-02/2013 Directives D-02/2013 : Reporting Asset Management Costs
Status as of 1 Jan 2013 Occupational Pension Supervisory Commission Wealth management Occupational pension funds
D-01-19 Portfolio Management Guidelines
Status as of 1 Jan 2022 Swiss Bankers Association (SBA) Wealth management
D-01-19 Portfolio Management Guidelines
Status as of 1 Mar 2017 Former version Swiss Bankers Association (SBA) Wealth management
D-01-22 Guidelines for the Financial Service Providers on the Integration of ESG-Preferences and ESG-Risks into Investment Advice and Portfolio Management
Status as of 1 Jan 2023 Former version Swiss Bankers Association (SBA) Sustainable finance Wealth management
D-01-22 Guidelines for the Financial Service Providers on the Integration of ESG-Preferences and ESG-Risks into Investment Advice and Portfolio Management
Status as of 1 Oct 2023 Former version Swiss Bankers Association (SBA) Sustainable finance Wealth management
D-01-22 Guidelines for the Financial Service Providers on the Integration of ESG-Preferences and ESG-Risks and the Prevention of Greenwashing in Investment Advice and Portfolio Management
Status as of 1 Sep 2024 Swiss Bankers Association (SBA) Sustainable finance Wealth management
D-02-02 Recommandations de l'ASB et de la COPMA relatives à la gestion du patrimoine conformément au droit de la protection de l'enfant et de l'adulte
Status as of 1 Jan 2024 Conférence en matière de protection des mineurs et des adultes, Swiss Bankers Association (SBA) Wealth management
D-31-14 Directive 14: Code of Deontology Concerning the Exercise of the Profession of Independent Asset Manager
Status as of 22 Aug 2016 Abrogated act Association romande des intermédiaires financiers Wealth management
D-38-01 Règlement de l'Organisme de surveillance pour intermédiaires financiers & trustees (SO-FIT) relatif aux obligations des affiliés à l'organisme d'autorégulation
Status as of 12 Jul 2021 Supervisory Organisation for Financial Intermediaries & Trustees Wealth management
D-38-01 Règlement de l'Organisme de surveillance pour intermédiaires financiers & trustees (SO-FIT) relatif aux obligations des affiliés à l'organisme d'autorégulation
Status as of 1 Oct 2020 Former version Supervisory Organisation for Financial Intermediaries & Trustees Wealth management
D-38-02 SO-FIT Regulation on Framework Rules for Asset Management
Status as of 13 Oct 2020 Abrogated act Supervisory Organisation for Financial Intermediaries & Trustees Wealth management
D-39-02 PolyReg General Self-Regulatory Organisation Code of Professional Conduct
Status as of 1 Jan 2014 Abrogated act PolyReg General Self-Regulatory Organisation Wealth management
D-41-02 Regulations of Industry Organisation for Asset Management of VQF regarding the Practice of Asset Management
Status as of 1 Jan 2016 Abrogated act Financial Services Standards Association Wealth management
D-41-03 Rules of Conduct of the Industry Organisation for Asset Management of the VQF regarding the Practice of Asset Management
Status as of 1 Jan 2014 Abrogated act Financial Services Standards Association Wealth management
D-42-01 Règlement de l'OAR-G relatif aux obligations des affiliés
Status as of 1 Jan 2018 Abrogated act Organisme d'autorégulation des gérants de patrimoine Wealth management
D-42-01 Règlement de l'OAR-G relatif aux obligations des affiliés
Status as of 1 Jan 2020 Abrogated act Organisme d'autorégulation des gérants de patrimoine Wealth management
D-42-02 Règlement de l'OAR-G relatif aux règles-cadres pour la gestion de fortune
Status as of 7 Nov 2013 Abrogated act Organisme d'autorégulation des gérants de patrimoine Wealth management
D-75-01 Règles d'éthique professionnelle du GSCGI
Status as of 1 Jan 2014 Swiss Association of Independent Financial Advisors Wealth management
D-75-01a Annexe A aux Règles d'éthique professionnelle : Possibilités de placement dans le cas de gestion discrétionnaire
Status as of 1 Jan 2014 Swiss Association of Independent Financial Advisors Wealth management
D-75-02 Règlement d'application des Règles d'éthique professionnelle
Status as of 1 Jan 2014 Swiss Association of Independent Financial Advisors Wealth management
D-77-01 Code suisse de conduite relatif à l'exercice de la profession de gérant de fortune indépendant
Status as of 1 Aug 2017 Abrogated act Swiss Association of Asset Managers Wealth management
D-77-03 Contrats de gestion de fortune et gestion de fortune discrétionnaire : recommandations de l'ASG
Status as of 1 Jan 2022 Swiss Association of Asset Managers Wealth management
D-77-04 Recommandations professionnelles relatives à la gestion de placements collectifs dans le cadre des seuils « de Minimis »
Status as of 25 Apr 2023 Swiss Association of Asset Managers Wealth management

Articles en relation

Asset management contract

An expert opinion cannot compensate for the absence of factual allegations

Roxane Pedrazzini Roxane Pedrazzini  — 12 June 2025
The Federal Supreme Court has upheld a ruling by the Geneva Court of Appeal dismissing a liability claim against a bank for mismanagement on the grounds that the allegations were insufficient (ruling 4A_276/2024 of 31 March 2025). The client had held a bank account with the bank in question since the 1960s. In 1995, she inherited EUR 3 million and entered into a management agreement with the bank. At that time, the client's portfolio consisted solely of bonds and cash.[...]
Risk management Wealth management

Suitability test

Quo vadis ?

Sébastien Pittet Sébastien Pittet  — 8 April 2025
There is debate about the extent to which the client's knowledge and experience should be gathered as part of the suitability test. The solution proposed by Art. 12 para. 2 FinSA is probably not satisfactory for the investment advisory service. For the management service, the interpretation of this provision proposed by FINMA in its Circular 2025/2 on the rules of conduct according to FinSA and FinSO has been fairly criticized and, according to some, deviates from the will of Parliament.[...]
Banking regulation Financial services FINMA Investment advice Regulation Wealth management

Retrocession

Waiver valid according to the volume invested on an annual basis ?

Nicolas Ollivier Nicolas Ollivier  — 28 March 2025
The Geneva Court of Justice, in its ruling ACJC/1653/2024 of 19 December 2024, ruled that a clause waiving retrocessions indicating percentage ranges of the ‘volume invested on an annual basis’ by product category is valid within the framework of a management mandate. The Court of Justice begins its reasoning by recalling the principle that the agent must not be impoverished or enriched by the mandate apart from his agreed fees. Referring to the judgment 4A_266/2010 (commented in Fischer, cdbf.ch/773), it[...]
Compensation Retrocessions Wealth management

Asset management

“Extremely passive” board of trustees liable under civil law

Célian Hirsch Célian Hirsch  — 18 October 2024
The members of the board of trustees of a pension fund must draw up the investment strategy and organise and supervise its implementation. If they fail to do so, in particular if they conclude a discretionary mandate without any investment strategy and without supervising the investment manager, the members will incur civil liability (9C_496/2022, 9C_503/2022, 9C_504/2022, 9C_505/2022). A pension fund for a nursing home in Fribourg decided to enter into a discretionary management contract with an asset management company. The[...]
Liability Occupational pension funds Wealth management
Plus d'articles en relation