Ombuds-FIN

Organo di mediazione ai sensi della LSerFi

(o su base volontaria)

Per il momento questa pagina rimarrà in inglese.

 

On 1 January 2020, the Swiss Financial Services Act (FinSA/LSerFi) entered into force and clients of financial service providers can avail themselves of an ombudsman/mediation procedure. For this purpose, the financial service providers active in Switzerland must be affiliated to an ombudsman recognised by the Swiss Federal Finance Department (FDF).

Our institution has obtained the FDF recognition in July 2020 and is now offering these specific mediation services to all interested, whether subject to the FinSA or not, in accordance with our Rules of Mediation Procedure for Financial Services.

Non-Swiss Financial Service Providers who are not active in Switzerland are not subject to the FinSA and do not have to affiliate themselves with a Swiss Mediation Organ such as SCAI. Non-Swiss Financial Service Providers can nonetheless agree with their non-Swiss clients to use our Mediation Organ either by inserting in their contracts a mediation clause refering to SCAI and the SCAI Rules of Mediation Procedure for Financial Services, or by agreeing with their clients to refer thereto once a dispute arises. Model Mediation Clauses are available here.  

 

Financial Service Providers subject to FinSA (articles 2, 3, 29(1)(c) and 77 et seg. FinSA)

"Financial service providers" subject to FinSA are persons who provide financial services on a commercial basis in Switzerland or for clients in Switzerland, with the criterion of a commercial basis being satisfied if there is an independent economic activity pursued on a permanent, for-profit basis; are "client advisers" natural persons who perform financial services on behalf of a financial service provider or in their own capacity as financial service providers;

  • asset managers / Portfolio managers
  • Trustees
  • Fund management 
  • Trade essayers
  • Family offices
  • Client advisers who are not included in the affiliation of an affiliated financial service provider (art. 29 para. 1 let. c FinSA).
  • (Banks, Securities firms, insurance companies and intermediaries)

If you decide to affiliate yourself with our ombudsman service / mediation organ, you must fill in the below form and pay the affiliation fees. We will then confirm your affiliation and you will have filled in your obligation to affilate yourself to an ombudsman office as per article 74 et seq. FinSA. You will benefit of our services right away if you face a dispute. The affiliation fee will cover the remaining of 2020 and 2021 in full.

 

Clients of Financial Service Providers subject to FinSA

You do not have to affiliate yourself with us, it is your financial service provider subject to LSFin who must do so or have done so. If you are facing a dispute with your financial service provider and you have already put your questions and complaints to it and attempted to find a settlement (art. 75(4)(b) FinSA), you may file a request for ombudsman support/mediation with us. You must send your request to our Secretariat at ombuds-fin@scai.swiss in either German, French, Italian or English, and pay a registration fee of CHF 100.- on the bank account indicated on our mediation request form. The costs of the mediation will be borne by your Financial Service Provider (art. 75(1) FinSA).  

Note that the dispute must not already have been the object of another mediation between the same parties, and that no other mediation/conciliation/ombudsperson or –entity, or arbitral court or an administrative entity can have been seized with the same subject matter between the same parties(art. 75(4)(c-d) FinSA).

Your questions and complaint must neither concern questions of general business and fee policy nor abstract business and legal questions.

 

Regolamento 


Request for Mediation / Ombuds-support Forms 

 

 

Ombudspersons

(Further persons TBD)
 
Contact: ombuds-fin@scai.swiss

Financial Service Providers - How to affiliate yourself? 

By completing the below form, you are taking the first step towards affiliating your entity to our Mediation Organ / Ombudsman for financial service providers and their clients.

AUGUST 2020 EARLY BIRD DISCOUNT

The Financial Service Providers who affiliate themselves in August 2020 will benefit of a combined 2020-2021 affiliation fee of:

CHF 400.- per affiliated entity / company


As soon as we have received your information and payment, you will be affiliated and we will send you a confirmation thereof.

Financial service providers who affiliate themselves in 2020 benefit of a combined 2020-2021 affiliation fee as stated above. For 2022, the annual affiliation fee will as a rule be reduced proportionally once the mandatory reserves are constituted. There are no other charges or fees to be paid, unless one of your clients files a request for mediation, in which case the mediation cost will be charged as provided for in the SCAI Rules of Mediation Procedure for Financial Services.

Persona di contatto

To pay your SCAI affiliation fees, your are invited to use the following bank account details:

Bank : UBS Switzerland AG 
Beneficiary/Account Holder : Swiss Chambers‘ Arbitration Institution
IBAN : CH280024024094403401V
Account number : 944034.01V
BIC : UBSWCHZH80A 
Clearing number : 0240
UBS postal account number : 80-2-2