Geneva Compliance Group | LSFin Assessment

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Acknowledgement

The FinSA/FinIA evaluation published online by Geneva Compliance Group SA (hereinafter referred to as the "Assessment") contains general questions for information purposes only. A compliance percentage is computed and support solutions are suggested as a result.

The Assessment should not be construed as legal advice on specific facts or circumstances. The Assessment is intended solely for general information purposes on behalf of the person/entity conducting it.

The Assessment and/or the information it contains may not, in any way whatsoever, engage the civil, criminal or administrative liability of Geneva Compliance Group SA before any court or other authority or organization.

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FinIA Assessment

1. In what form are you organized?
2. What is the company's field of activity?
3. Is the company's turnover?
4. Is the company's headquarters located in Switzerland?
5. Does the company have branches/subsidiaries abroad?
6. Has the company defined target markets (geographically)?
7. Do the company's managers have 5 or more years of professional experience in asset/wealth management or administration?
8. According to the above definition, does the company have two or more qualified managers?
9. Is at least one manager domiciled in Switzerland or in the neighbouring region?
10. How are the compliance / risk management functions performed?
11. Does the company have a share capital of CHF 100,000 or more? (For a sole proprietorship: assets of partners with unlimited liability)
12. Does the company's equity capital represent at least 25% of fixed costs?
Shareholders' equity: reserves, profit brought forward, profit for the current financial year, unrealised reserves
Fixed costs: personal expenses, operating expenses, depreciation, amortization, correction
13. Does the company use third parties (outsourcing) to perform tasks essential to your business?
14. Does the company have the following internal policies, regulations or procedures? (multiple selection possible)

FinSA Assessment

1. What type of financial services do you offer? (multiple selection possible)
2. Which of these informations does the company transmit to its customers?
3. What are the costs that customers are explicitly informed about?
4. Do you apply a classification system for your customers? (multiple selection possible)
5. Does the company complete an investment profile for each client?
8. For each investment advice, do you document the client's needs and the reasons for the recommendation?
9. Does the company receive financial benefits from third parties (retrocessions/commissions)?
10. Does the company advertise financial instruments?
11. Does the company have the following internal policies, regulations or procedures?