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

Financial Service Providers

“Financial service providers” within the meaning of the FinSA are persons who provide financial services in Switzerland or for clients in Switzerland on a commercial basis, whereby the criterion of a commercialism is met if there is an independent, permanent and profit-oriented economic activity; “client advisers” are natural persons who provide financial services on behalf of a financial service provider or in their own capacity as a financial service provider;

  • 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 join our ombudsman/mediation service, you must complete the form below and pay the affiliation fee. We will then confirm your affiliation and you will have fulfilled your obligation to join an ombudsman body in accordance with article 74 et seq. FinSA. You will immediately benefit from our services in the event of a dispute. The affiliation fee covers the remainder of 2021. A call for 2022 will be made in the second semester of 2021.


Clients of Financial Service Providers subject to FinSA

If you are facing a dispute with your financial service provider who is affiliated with us or is willing to use our services, 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 ombudsfin@swissarbitration.org in English, French, German, or Italian, and pay a registration fee of CHF 100.- to 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).

Your questions and complaints must neither concern questions of general business and fee policy nor abstract business and legal questions. The dispute may not previously have been the subject of another court, mediation or conciliation procedure (art. 75(4)(c-d) FinSA).


Financial Service Providers and Client Advisers – How to affiliate with us?

By completing the form below, you are taking the first step towards affiliating your entity with our Mediation Organ / Ombudsman for Financial Services.

REGISTRATION AND 2021 AFFILIATION FEE:
CHF 440.- per entity / company subject to FinSA / client advisers who are not already included in the affiliation of an affiliated financial service provider (art. 29 para. 1 let. c FinSA) (e.g. asset managers, trustees, funds, family offices, banks, insurances, brokers, etc.).

The affiliation process is purely digital. As soon as we have received your affiliation form and payment, you or your entity will be affiliated with our mediation body and we will send you a confirmation.

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Swiss Rules 2021
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Access the revised Arbitration Swiss Rules 2021

Swiss Rules 2021