SRO Beitritt

Information for advisors

 

AMLA Revision

With the revision of the Anti-Money Laundering Act, certain professionally active advisors may also be covered by the AMLA. Depending on the specific activity, due diligence, organisational and reporting obligations under the AMLA, as well as affiliation with a self-regulatory organisation, may become necessary.

I. Overview

Who may be affected

Persons and companies may be affected in particular if they act for third parties in financial transactions or in raising funds in connection with certain legal transactions.

Examples of such legal transactions may include:

  • Purchase and sale of real estate
  • Formation, management or administration of non-operating legal entities
  • Contributions, distributions and the purchase or sale of non-operating legal entities
  • Domiciliary or registered-office services for legal entities

Important: The specific activity is decisive in each case. Not every advisory activity automatically leads to being subject to the AMLA.

 

II. Professional activity

Thresholds and timing

The thresholds for professional activity will be specified in the Anti-Money Laundering Ordinance, as is the case for financial intermediaries. The relevant provisions are currently still available only in draft form.

The final framework for the self-regulatory organisation has not yet been approved by FINMA. The definitive details are expected to be specified during the course of 2026.

Early clarification is therefore recommended, especially if your activity could fall within one of the areas mentioned.

 

III. Support

Clarify early which obligations may apply

VQF supports advisors with questions regarding a possible obligation to be subject to the AMLA, affiliation with an SRO and the admission procedure.

If you have any questions, please contact us at info(at)vqf.ch.

 

IV. Waiting list

Request to be added to the waiting list

As the final framework for the self-regulatory organisation has not yet been approved by FINMA, a definitive admission procedure for advisors cannot currently be opened.

Interested advisors may, however, already request to be added to a waiting list. As soon as further information on the admission procedure and the required documents becomes available, VQF will inform the registered interested parties.

If you would like to be added to the waiting list, please contact us at info(at)vqf.ch.

Note: The information on this page is intended for general guidance only. The applicable statutory provisions, implementing ordinances and regulatory requirements following their definitive approval are decisive.

Rights & Duties

I. Rights

 

Your VQF SRO membership entitles you to act as a financial intermediary in the parabanking sector (Art. 2 Para. 3 AMLA) in Switzerland.

 

Furthermore, your SRO membership entitles you to make use of numerous VQF services. All VQF services to our SRO members have the following

goals.

 

As a member you should be able to comply with the duties placed on you by the Anti-Money Laundering Act (AMLA) or the requirements of the market as

  • easily and efficiently
  • cost efficiently and
  • effectively

 

as possible. The actions taken by SRO members provide protection against money laundering and the financing of terrorism and contribute to the protection of investors and the integrity of Switzerland as a financial centre.

 

As a VQF SRO member you benefit from a variety of services and other benefits, especially:

  • Tried and tested, easy-to-understand form templates, checklists and instructions.
  • Basic and advanced training seminars as well as individual (company-) training.
  • Expert one-on-one specialist consulting at attractive rates.
  • Representation of your interests towards the Swiss authorities with regard to anti-money laundering law (e.g. in the Swiss parliamentary legislation process, consultation with Swiss authorities, etc.).

 

II. Duties

As a result of your VQF SRO membership, as a financial intermediary in the parabanking sector (Art. 2 Para. 3 AMLA), among other requirements you are obliged to comply with duties of due diligence and other duties pursuant to the AMLA and the VQF SRO rules and regulations (regulations, audit concept and training concept).

 

 

 

Changes

Were there any changes to the member's information as provided as part of the application for admission? For example: Were there any changes in your company's supervisory board or executive management? Have the ownership circumstances changed? Would you like to redefine the personal responsibilities in the internal special department?

 

The VQF must be informed immediately of any changes to information provided as part of the application for admission. Please send us the relevant documents so that the VQF can check whether the conditions for membership continue to be met. You find instructions about changes and the documents to be submitted in the section VQF Downloads.

 

 


 

 

Please note that only the German version is legally binding.