Overview

Course Overview

  • FinSA Client Advisor Recorded Online Courses

    The recorded online courses offer comprehensive and detailled coverage of the exam material. They can be attended from anywhere, anytime (fee: from CHF 200.- to CHF 600.-).

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FinSA Client Advisor Program

Purpose of the FINSA Client Advisor Test

The Swiss Financial Services Act (FINSA) introduces enhanced compliance obligations for financial service providers and their client advisors having (private) clients in Switzerland. FINSA increases the compliance requirements for client advisors of non-FINMA supervised domestic financial service providers with Swiss and non-Swiss clients and foreign financial service providers with clients in Switzerland. They must generally be entered in the newly established client advisor register under FINSA and must have adequate know-how of the financial services provided, as well as know-how of the applicable compliance rules.

Content of the FINSA Client Advisor Test

The FINSA Client Advisor Test is a computer-based test that can be accessed online around the world, 24 hours a day, with the test taker's equipment. Alternatively, the test can be taken in a test center.

The FINSA Client Advisor Test offers the test taker a modular approach with the completion of different modules, each of which refer to a financial service that falls within the scope of the Swiss Financial Services Act (FINSA). The financial services include execution and forwarding orders, investment advice and discretionary asset management, distribution of financial instruments and credit granted for the execution of transactions in financial instruments.

All the modules and financial services can refer to each of the following financial instruments that fall individually or jointly within the scope of FINSA. The financial instruments covered by the FINSA Client advisor test are:

  • Stocks
  • Bonds and debentures
  • Derivatives, structured products and structured deposits
  • Funds
  • Digital assets

The FINSA Client Advisor Test will also test in a separate section the behavioral and compliance rules applicable to the financial services activities covered under FINSA.

More information about the FINSA Client Advisor Test can be found at https://www.webassessor.com/finsaclientadvisortest

Preparation for the FINSA Client Advisor Test

CfBS Center for Business Studies offers in cooperation with PricewaterhouseCoopers the following recorded online courses to prepare for the different client advisor tests:

  • Asset Management / Investment Advice
  • Executing / Forwarding of Orders and Credit Activities
  • Fund Distribution
  • Code of Conduct Legal