Schedule FINSA Client Advisor - Legal / Code of Conduct


Legal / Code of Conduct2.0

(Scope of the FINSA, affected persons, affected activities, behavioral obligation, suitability and appropriateness, obligation to document and render account, obligation to get a copy of client file, transparency obligation and duty of care, client advisor registry, ombudsman, advertisement and liability, offering of securities, offering of financial instruments to private clients, strcutured products and in-house funds, collective investment schemes, criminal provisions)