Fit for FinSA

With the introduction of new FinSA and FinIA regulations, financial service providers and their employees are facing new challenges. Targeted profiling and categorisation of customers, situation-specific advice, comprehensive documentation obligations are core requirements that legislators demand of customer advisors and other employees at banks. The modular, interactive training offered by Fintelligence, imc and Primecoach prepares participants specifically for the extended regulatory requirements. Learning controls and a comprehensive final test certify the learning success. The training is recognized by SAQ as a re-certification measure within the framework of the customer advisor certification at banks.

Topics:

• The purpose and goal of FinSA
• Client protection
• Scope
• Client segmentation
• Client profiling
• Appropriateness and suitability review
• Precontractual information
• Basic information sheet and prospectus requirement
• Code of conduct for client orders
• Documentation and accountability
• Applicability of MiFID 2 in Switzerland