LIBERTY FINANCIAL ADVISOR

APPLICATION FOR FINANCIAL ADVISOR

PROFESSIONAL LIABILITY INSURANCE IS MANDATORY FOR FINANCIAL ADVISORS FILDEG

APPLICATION FOR FINANCIAL ADVISOR ACCORDING TO FINSA

Desired insurance coverage

Start of insurance (start of month, retroactive not possible)

*Annual premium including 5% stamp duty, SB = deductible.

Policyholder

Phone

E-mail

Company

Legal form

Financial services of the applicant

Please list the % of revenue from the following financial services provided by the applicant:

For the current year and the previous year

Acquisition or disposal of financial instruments (securities, debt securities, funds, bonds)

Transactions and trading in derivatives (options, futures, etc.)

Consultations for structured financial products/deposits

Acceptance and transmission of orders that have financial instruments as their object

The provision of personal recommendations relating to transactions in financial instruments (investment advice)

The management of financial instruments (asset management)

Asset or fund management

Granting of loans (excluding consumer loans) for the purpose of conducting business with financial market instruments

other services and activities not mentioned above:

If yes, please provide detailed information:

Are the consulting services provided on the basis of written agreements, contracts, service agreements or written orders?

yes No

Asset management / investment advice

Asset/Fund Manager or Investment Manager or Advisor: Please provide detailed information on:

Assets under Management (AuM in CHF)

Largest managed portfolio / fund

Please provide the following percentage breakdown of AuM in CHF (Total 100%)

Asset management with investment at own discretion

Asset management without own discretion

Assets in funds

Other, please specify

Are transactions carried out only on the basis of the prescribed powers of attorney in accordance with the investment guidelines?

Yes No

Is it verified that transactions and positions comply with the regulations in the investment policy manuals or similar internal documents?

Yes No

Do all customers receive an overview of their investments at least once a year?

Yes No

Does the applicant provide trust management services?

Yes No

If yes, please provide detailed information:

Does a dual control process apply to all remittance systems (domestic and foreign), requiring the involvement of two different staff members?

yes No No bank transfer possible

Has the applicant appointed a data protection officer responsible for implementing and managing data protection?

yes No

Existence of technological procedures and standards for the following areas

Backup and access control

yes No

Privacy

yes No

Backup for security and contingency plans

yes No

Do the systems force passwords to be changed at least every 30 days?

yes No

Is at least one generation of files (data, programs, and systems) kept in a secure lockdown area located outside the data processing center?

yes No

Do you offer internet services?

yes No

If yes, provide the following services

Product information only

yes No

Account balance

yes No

other

yes No

if other applicable, please provide details

Are firewalls and/or similar software used to authorize access to the Internet facility?

yes No

Do you use antivirus software which is updated periodically?

yes No

Application questions

Has any application for Applicant's professional liability insurance been denied or cancelled by any other insurance company?

yes No

If yes, please specify the reasons

Have there been any professional liability insurance claims in the last 5 years?

yes No

If yes, please provide the following information per claim

Is the applicant, after internal inquiry, aware of any complaints from customers (either raised by the customer or raised by a regulator on behalf of customers)?

yes No

If yes, please provide detailed information

Has a professional liability claim been filed against the applicant in the last 5 years?

yes No

If yes, please provide detailed information

Consent

As a policyholder, you automatically become a member of the Swiss Squad Association (SKV) free of charge with this insurance application. If you leave the SKV or IGUV , you automatically lose your entitlement to the advantageous conditions of the group insurance. Your insurance will be continued by Liberty at the usual standard conditions.

I agree

The insurance company is not obliged to accept every applicant. The information provided on the IGUV website regarding premiums has been prepared and verified to the best of our knowledge and belief, but is not guaranteed. IGUV cannot be held liable for any adjustments to the premiums.

I agree

The undersigned confirms that he/she has answered all questions and risk facts completely and truthfully and that he/she has received the applicable General Insurance Conditions and any additional insurance conditions. He/she undertakes to notify any significant changes that occur prior to the conclusion of the insurance. Upon acceptance, this application shall become an integral part of the policy.

I agree

By completing the online application, you agree that your data will be forwarded to the insurance company and SKV for verification and preparation of the insurance policy. You authorize them to send the claim and contract correspondence directly.

I agree

E-Signature

Save signature before submitting

NEWS AND INFORMATION

NEWS

GENERAL

BOARD

GERMAN SWITZERLAND

ADVISORY BOARD

SERVICES FOR ASSET MANAGERS

ADDED VALUES

INVESTMENT SOLUTIONS

REGULATORY

IT SOLUTIONS

SERVICES FOR BANKS

ADDED VALUES

SERVICES FOR THE CLIENT OF THE ASSET MANAGER

REAL ESTATE

PREVENTION

OTHER

MEMBERSHIPS &AMP; COOPERATION MODELS

MEMBERSHIPS

COOPERATIONS

GENERAL

NEWS AND INFORMATION

NEWS

GENERAL

BOARD

GERMAN SWITZERLAND

ADVISORY BOARD

SERVICES FOR ASSET MANAGERS

ADDED VALUES

INVESTMENT SOLUTIONS

REGULATORY

IT SOLUTIONS

SERVICES FOR BANKS

ADDED VALUES

SERVICES FOR THE CLIENT OF THE ASSET MANAGER

REAL ESTATE

PREVENTION

OTHER

MEMBERSHIPS &AMP; COOPERATION MODELS

MEMBERSHIPS

COOPERATIONS

GENERAL

APPLICATION FOR FINANCIAL ADVISOR

PROFESSIONAL LIABILITY INSURANCE IS MANDATORY FOR FINANCIAL ADVISORS FILDEG

APPLICATION FOR FINANCIAL ADVISOR ACCORDING TO FINSA

Desired insurance coverage

Policyholder

Financial services of the applicant

For the current year and the previous year

Asset management / investment advice

Please provide the following percentage breakdown of AuM in CHF (Total 100%)

Existence of technological procedures and standards for the following areas

If yes, provide the following services

Application questions

Consent