Thomas Thüler
Head of Managed Services
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Asset managers face even stricter compliance requirements now that FinSA and FinIA have entered into force. Due to our vast expertise in the financial market sector, we are able to support managers of collective investment schemes or individual assets.
Support in the FINMA authorization process
You would like to obtain a license as a wealth manager? We have many years of experience in accompanying FINMA authorization processes and know your challenges as well as the expectations of the supervisory authorities.
There are usually 5 challenges in an authorization project, which we are happy to address with you:
Outsourcing the internal control function
Seeking certainty when it comes to regulatory requirements and monitoring of potential risks? We support you in strengthening your company and increasing the quality of your services. As your trusted outsourcing partner for portfolio managers and trustees, BDO can assist you with the following tasks:
Compliance
- Ad hoc support and advice on compliance and legal issues
- Internal specialist unit for combating money laundering
- 2nd line compliance controls in accordance with ICS control plan
- Updating directives and standard documents in the event of regulatory changes
- Compliance with cross-border regulations
- Monitoring employee transactions and market conduct rules
Risk management
- Ad hoc support and advice on risk management issues at the enterprise level
- Updating/managing the risk and control matrix
- Preparing and managing the ICS control plan
- Monitoring ICS documentation
- Exchange of information with auditors during regulatory audits
- 2nd line risk control activities
Reporting
- Integrated ICS, risk and compliance reporting to the board of directors and executive committee
- Discussion of draft external regulatory reports
- Presentation at the meeting of the BoD
Regulatory Monitoring
- Complimentary access for all employees to the BDO Digital Regulatory Monitoring Tool for portfolio managers
- Regular updates and recommendations for action on all significant regulatory developments
Employee training
- Running customised compliance training and compliance workshops for employees, covering all topics required by law and directives (including AMLA, FinSA, Cross Border, etc.)
- Delivery of training documentation and training confirmations
Modular - flexible - individual
Every institution is different. We define the service catalogue together with you. From complete outsourcing of the internal control function to delegation of individual sub-tasks within compliance - you choose and purchase only those services that you cannot or do not want to perform yourself.
BDO Service Platform for Asset Managers
Would you like to focus on your core business, while simultaneously ensuring that all compliance requirements are met in an efficient manner? The BDO Service Platform for Asset Managers allows small to medium-sized asset management providers to manage the complex requirements of the future with reasonable effort and expense.
Your Benefits:
Man plus technology – best of both worlds
We combine our extensive know-how in providing services in the area of advisory, compliance, business outsourcing and management with the digital services of our software partners. Our tool enables you to digitize a wide range of activities and tasks - from onboarding and client relationship management to portfolio management.
Modularity – only pay for what you need.
The BDO Service Platform for Asset Managers' modular setup enables you to select the services that complement your business model. You can pick and choose services based on your preferences and needs. The result is a customized solution rather than a one-size-fits-all package.
Save time, costs and resources
BDO provides resources and expertise, while also taking on of all the daily business tasks you have delegated to us. On request, BDO can provide you with IT operations, application management as well as back office services.
Meeting regulatory requirements
As an audit firm accredited by FINMA, BDO meets the highest quality standards. By partnering with BDO, you will meet all relevant regulatory requirements. Our knowledgeable advisers will assist you with any questions related to the following topics:
- Financial Services Act (FinSA)
- Financial Institutions Act (FinIA)
- Collective Investment Schemes Act (CISA)
- Pension law (BVG/BVV 2/ASV)
- Anti-Money Laundering Act (AMLA)
- Financial Market Supervision Act (FINMASA)
- MiFID II
- Professional and industry standards
- Corporate law
The BDO Service Platform consists of three modules. You choose the content and scope of your individual service package.
Our partners
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