IGUV

SAMPLE DOCUMENTS

Simply select the desired documents and you will receive them by e-mail from our cooperation partner. Members receive a one-time discount of CHF 50.
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SAMPLE DOCUMENTS AND SERVICES
ORGANIZATIONAL REGULATIONS - CHF 80
The Organizational Regulations contain the most important rules for the management of the company. Our model takes into account the need to make changes to these regulations by FINMA and is therefore kept to a minimum so that the Internal Organization Guideline , the amendment of which does not require FINMA approval, makes the details readily available to change over time.
INTERNAL ORGANIZATION GUIDELINE - CHF 120
Our model internal organization guideline is linked to the organizational regulations, which should be subject to FINMA approval. In order to avoid the need to forward the regulations to FINMA each time they are amended, the internal organization guideline provides specific organizational rules for financial institutions and can be amended without excessive formalities.
GUIDELINE CUSTOMER RECEPTION - CHF 300
Opening a business relationship requires various activities on the part of the financial institution:
  • Client classification
  • Fulfilment of the duty to inform
  • Conducting the suitability or adequacy test
  • Completion of the anti-money laundering forms
The Customer Acceptance and Onboarding Procedures Policy describes the processes required to fulfill these obligations, as well as various required attachments. These include the Financial Service Provider Information Sheet and the Customer Profile at FinSA and AMLA, which are available separately.
GUIDELINE COMPLIANCE - CHF 350
The compliance function is an important department for every financial institution. This compliance guideline was created to ensure the implementation of a proper compliance function for financial service providers and especially for asset managers. The guideline regulates the organizational processes and is supplemented by an annex listing all control activities required for the compliance function.
RISK MANAGEMENT AND INTERNAL CONTROL POLICY - CHF 300
Risk management and internal control systems are an essential tool for all financial institutions. Our guideline, which was developed specifically for small and medium-sized financial institutions, governs the internal processes required to comply with FINMA regulations and practices. The full guideline also requires the risk matrix and the reporting matrix.
GWG DIRECTIVE-CHF 250
Our Money Laundering Guideline for Asset Managers provides the procedures required for the correct implementation of the Money Laundering Act by asset managers with regard to applying for a license from FINMA.
REPORT MATRIX - CHF 50
For proper risk management, reports must be submitted to the control units on a regular basis. The reporting matrix, which is also an annex to the Risk Management and Internal Control Policy, indicates in a simple and clear manner which reports must be forwarded at what times and to which office. This is an essential document for ensuring the proper functioning of internal control.
RISK MATRIX - CHF 300
The risk matrix attached to the Risk Management and Internal Control Directive identifies all risks of financial institutions, assesses the probability of occurrence of risks and contains the risk mitigation measures and controls to be implemented. This is a fundamental document for proper risk management and for obtaining FINMA approval as an asset manager, securities firm or bank.
CROSS-BORDER DIRECTIVE - CHF 350
Financial service providers are often confronted with the provision and distribution of financial products abroad. However, this activity is subject to regulation or licensing in most foreign countries. In the event of a violation, significant legal and reputational risks can arise for the company and the employee. It is therefore highly advisable to identify, limit and monitor cross-border risks appropriately, even in the case of cross-border activities. The purpose of this guideline is to define the principles to be applied in cross-border activities and the organizational measures to be taken for this purpose. This guideline supplements the framework introduced with the guideline on internal control and risk management.
GUIDELINE ON INFORMATION, DUE DILIGENCE AND FIDUCIARY DUTIES - CHF 300
Different financial regulations impose different obligations on financial institutions. The Directive on Information, Due Diligence and Fiduciary Duties takes these different obligations and regulates them in a single internal directive, guaranteeing the processes required to obtain authorization to operate as a financial institution, whether it is an asset manager , an investment firm or a bank.
GUIDELINE-IT - CHF 200
Information technology has become an essential component of any financial asset. Our Small Financial Institutions Policy governs IT infrastructure management and business recovery to meet regulatory requirements.
BUSINESS PLAN - CHF 120
The business plan focuses on future projections of the company's revenues and expenses. It also outlines the company's management and operational structure, as well as current and future activities. It is an essential document attached to the application for approval to FINMA, which financial institution (individual asset managers, trustees, collective asset managers, direction of funds or investment firms).
FINANCIAL SERVICE PROVIDER INFORMATION SHEET - CHF 50
Financial service providers, banks, investment firms and asset managers must provide their clients with information about their business in accordance with Art. 8 of the Financial Services Act. Our information sheet contains all the data you must provide. It can also be used to fill in digital forms that are accessible to clients via digital portals.

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