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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 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-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-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

“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

Retrocessions

An analysis of the characteristics of churning activities

Sébastien Pittet Sébastien Pittet  — 26 June 2024
There is nothing new about the fact that an asset manager who engages in churning is liable to a criminal conviction (disloyal management - art. 158 of the Swiss Criminal Code). In its ruling 6B_1118/2023 of 26 April 2024, the Swiss Federal Supreme Court analysed in detail the evidence that would allow a churning activity to be identified or ruled out, i.e. carrying out a large number of transactions with the sole aim of increasing retrocessions. Between 2003 and 2005,[...]
Criminal law Retrocessions Wealth management

Rules of conduct under FinSA

FINMA launches consultation on new circular

Rashid Bahar Rashid Bahar  — 24 May 2024
FINMA has published a draft of a new circular entitled "Rules of Conduct under the Investment Services Financing Act and the Investment Services Financing Ordinance". The aim of the draft is to enhance legal certainty two years after the end of the transitional period following the entry into force of these standards and the first prudential audit cycle on this subject. Overall, it is a relatively modest project. Rather than extending the scope or providing a general commentary, it is[...]
Banking contracts Financial services FINMA Investment advice Retrocessions Wealth management

Asset management

Approval of investments contrary to the investment strategy

Sébastien Pittet Sébastien Pittet  — 15 April 2024
An asset manager who does not comply with the conservative investment strategy agreed with his client is not in breach of his contractual obligations if the client has validly approved the investments (Federal Court ruling 4A_507/2023 of 29 February 2024). In this judgment, the client consults an asset manager to manage part of his assets. Over the years, the client entered into three different management relationships with the service provider. In the third relationship, which gave rise to the dispute,[...]
Banking contracts Liability Wealth management
Plus d'articles en relation