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Swiss Portfolio Managers and Investment Advisors face New Regulatory Challenges

September 2014

Under the current Swiss legislation, “independent” or “external” portfolio managers and investment advisors are not subject to licensing requirements or prudential supervision. As regards portfolio managers, this is about to change with the introduction of the Financial Institutions Act (FIA). In addition, the Federal Financial services Act (FSA) will introduce rules of conduct and organizational requirements for all financial services providers. This newsletter ties in with the overview of the two legislative proposals published in August 2014.

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