Our legal and compliance specialists provide professional support with legal issues and the completion of various tasks in the areas of compliance and risk management. The legal and compliance department is also at your disposal for daily legal and regulatory questions and concerns.
The following legal / compliance / risk management services are offered via the platform:
Legal topics:
- Support with the establishment of companies in the area of wealth management and financial services
- Assume the function of the board of directors and / or the executive management for existing or newly founded companies
- Execution of the preparatory work and the approval process for obtaining the FINMA license and joining a supervisory organization (SO) in accordance with FINIG
- Support with the drafting and reviewing contracts, forms and regulations
- Use of “EU passporting” via Germany including notification for the European markets (Italy, Greece, Great Britain and Austria)
- Arranging contacts with international trust companies (establishment of structures, start-ups, M&A consulting, tax and legal advice)
Compliance:
- Support with the implementation of the VSB and AML regulations
- Support with client onboarding / account opening process (due diligence and review of customer documentation)
- Management of customer files
- Compliance reviews for existing customer relationships
- Risk classification of customer relationships
- Support with reporting obligations towards the board of directors and state authorities
- Support with information obligations towards customers
- Compliance training (AMLA and cross-border training)
- Advice on solving compliance or legal cases
Risk Management:
- Set-up of the internal control system (ICS) including a control plan
- Support with the identification, analysis and assessment of legal and compliance risks, including the planning and implementation of measures
- Execution of controls and monitoring tasks (AML, KYC, documentation)
A well-functioning back office contributes significantly to customer satisfaction. Our experienced back office team takes care of the administrative tasks involved in asset management for our partners and their customers. The team handles all orders professionally, quickly and with a high degree of flexibility.
The following back office services are offered via the platform:
- Order management (recording, placement and execution including notification and archiving)
- Handling of documentation and reporting obligations regarding securities transactions
- Booking of securities transactions
- Reporting using the portfolio management system
- Document management and archiving
- Use of the vwd Portfolio + Advisory Software including interfaces to custodian banks:
- «vwd portfolio manager» (solution for portfolio management)
- «vwd advisory solution» (solution for investment advisory)
- «Customer Account» (digital customer advice and support)
In our office premises at Mainaustrasse in Zurich-Seefeld, we offer you an ideal business environment. State-of-the-art IT structures, high-quality workplaces and conference rooms are made available to partners.
The following services in the area of IT / Office infrastructure are offered via the platform:
Use of IT infrastructure:
- Cloud solution (including the latest MS software)
- VoIP telephone solution (Zurich telephone number, worldwide)
- Direct contact to our external IT service provider for technical concerns or problems
Use of office infrastructure:
- Representative conference rooms with modern equipment
- Workplace including hardware and software
- Our department for administration and secretarial services:
- Handling of bank correspondence etc.
- Various administrative services (customer letters, courier shipments, presentations etc.)
- Customer reception
The following services in the area of Investment are offered via the platform:
Managment of client assets by the platform
- Asset Management
- Investment Advisory
- Execution-Only
Participation at the Investment-Committee meeting (weekly)
- Exchange with experts with many years of professional and industry experience
Participation at the investment policy meeting with Prof. Dr. Josef Marbacher (quarterly)
