FINcontrol Suisse Ltd - your regulatory partner for the future.
FINcontrol Suisse Ltd operates as an independent Swiss Supervisory Organization according to FINMASA. With the guiding principles of a lean structure, efficiency, independence and professionalism, FINcontrol Suisse Ltd will act as a reliable supervisory partner for financial institutions. In this way, FINcontrol Suisse AG strengthens the reputation, stability and future of the "Financial Market Switzerland".

FINcontrol Suisse Ltd is not a public authority but an institution founded under private law, which supervises that portfolio managers and trustees are in constant compliance with the licensing requirements and the obligations of conduct under FinSA (FIDLEG) and FinIA (FINIG). For this activity as supervisory authority, FINcontrol Suisse Ltd is authorized by the Swiss Financial Market Supervisory Authority FINMA. FINcontrol Suisse Ltd was founded by financial market participants and thus was not created through an official act. Nevertheless, it must perform its supervisory activities independently and free of any vested interests. FINcontrol Suisse Ltd pursues these objectives.
Supervision over Portfolio Managers & Trustees
FINcontrol Suisse Ltd is a subsidiary of VQF; VQF holds 100% of the shares in FINcontrol Suisse AG. FINcontrol Suisse Ltd was founded with the purpose of operating a supervisory organisation in accordance with FINMASA for portfolio managers and trustees. It is the cornerstone of the VQF Group in the regulatory environment under FinSA and FinIA. Read more about the purpose of FINcontrol Suisse Ltd in the commercial registry.
Structure
FINcontrol Suisse Ltd is structured as lean as possible without sacrificing supervisory competence. This ensures that a competent, competitive and cost-efficient supervisory organization is available on the market.
Tasks and Services
In the interests of lean structures, the clear maintenance of independence and a clear orientation of tasks to supervisory activities, neither FINcontrol Suisse Ltd nor VQF offer training for Directors. Membership with VQF is therefore not necessary for supervised financial institutions of FINcontrol Suisse Ltd. It is our conviction that financial institutions should be free to choose how they organise and structure their organisations.
Independence
FINcontrol Suisse Ltd is 100% owned by VQF. Three VQF delegates sit on the Board of Directors of FINcontrol Suisse Ltd. However, these members of the board are explicitly not bound by instructions. VQF also assures that it will not exert any other form of influence on the activities of FINcontrol Suisse Ltd. Accordingly, it is not intended that financial institutions supervised by FINcontrol Suisse AG should be members of the VQF.
FINcontrol Suisse Ltd is authorised by the Swiss Financial Market Supervisory Authority FINMA as a supervisory organisation.
Board members
Heinz Knecht, Chairman
Miriam Chiara Di Natale, Vice Chairman
Patrick Schleiffer, Member
Marcel Schmocker, Member
Marco Passardi, Member
Managing directors
Simon Wälti, CEO
Statutory Auditor
Grant Thornton AG, Zürich

Milestones and Timeline
The timeline traces the most important milestones on the timeline and looks ahead. You will find all important upcoming steps for entering the regulatory world of FinSA and FinIA.
End of the transitional period for SRO-supervised financial intermediaries to submit an application to FINMA for authorisation as portfolio manager or trustee.
Expiry of transition period according to FinSA and its ordinance. As of 1 January 2022, all financial institutions and financial service providers must comply with all relevant conduct of business obligations pursuant to FinSA.
In accordance with FinSA, client advisors must be registered in a register of advisors. The deadline for registration is 19 January 2021, after which all advisors must be entered in an advisor register. The list of all FINMA-approved registers of advisors can be found via the following link: https://www.finma.ch/en/authorisation/registrierungsstelle/
Deadline for affiliating with an ombudsman's office. Financial institutions and financial service providers must join an ombudsman's office by 23 December 2020 (exceptions may apply for financial service providers only with professional and/or institutional clients). The list of ombudsman offices recognized by the FDF can be found under the following link: https://www.efd.admin.ch/efd/en/home/das-efd/ombudstelle-nach-fidleg.html.
FINcontrol Suisse AG is approved by the Swiss Financial Market Supervisory Authority FINMA as a supervisory organization. From this date on portfolio managers and trustees can submit their applications for affiliation with FINcontrol Suisse AG
Registration on FINMA's EHP survey platform: all financial institutions that were already members of an SRO at the end of 2019 had to register with FINMA pursuant to Art. 74 FinIA and indicate which license they would apply for (and by when).

Contact
FINcontrol Suisse Ltd
c/o VQF Verein zur Qualitätssicherung von Finanzdienstleistungen
General-Guisan-Strasse 6
6300 Zug
T: +41 41 763 28 20
@: info@fincontrol.ch
Due to the current situation in connection with Covid-19, our offices are open at the following times. You can also reach us online outside of office hours.
Office Hours
Mo - Fr: 09.00 to 12.00, 13.15 to 16.00
Media Requests
FINcontrol Suisse Ltd believes in the added value generated by transparent communication.
Please send your request to our email info@fincontrol.ch or contact us by calling +41 41 763 28 20.