ISA compliance
The problem
Without a mandate or proof of client disclosure, evidence is missing during an inspection.
Disclosure before conclusion must be documented.
Training certificates and the status of people giving advice must be easy to locate.
What Tacita does
Signed mandates
Management and study mandates, with date and scope.
Provable disclosure
Five levels of evidence for delivery to the client.
Continuing education
Certificates kept for each staff member.
FINMA register
Registration status of the broker and its advisers.
An example
The record distinguishes five levels of evidence that client information was delivered. Fictional example.
Common questions
- What information does article 45 of the Swiss Insurance Supervision Act require?
- Which software should a Swiss insurance broker choose?
- How do you check a commission statement in Switzerland?