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Federal Act on Financial Services (FinSA)
Information for our clients
General Information regarding FinSA
FinSA entered into force on January 1st, 2020 and was progressively implemented by Gutzwiller SA Genève within the statutory transition period ending on December 31st, 2021.
FinSA contains information and transparency requirements vis-à-vis the client, so that the client can make informed decisions when dealing with the bank and its offering of products and services. This applies in particular to transactions on securities, derivatives or forward transactions.
FinSA as well as the European regulation under MiFID II (in force since January 3rd, 2018) include the obligation to profile and segment clients.
The scope of investor protection depends on the classification into the segments of retail (private) clients, professional clients and institutional clients. Gutzwiller SA Genève carries out the profiling whenever possible directly with the client, who, as a result, is informed about the classification into the respective segment.
Gutzwiller SA Genève offer the following services:
- Portfolio Management Mandate
- Advisory Agreement
- Receipt and transmission of orders in relation to financial instruments (Execution-only in relation to E. Gutzwiller & Cie, Banquiers)
Information regarding Gutzwiller SA Genève and the Supervisory Organisation SO-FIT
Gutzwiller SA Genève is licensed by FINMA, the Swiss Financial Market Supervisory Authority and prudentially supervised by SO-FIT, Supervisory Organisation, according to the dispositions of the Federal Financial Institutions Act (FinIA).
Gutzwiller SA Genève is a subsidiary of E. Gutzwiller & Cie, Banquiers, an authorized bank and securities dealer of the category private bankers, regulated through FINMA.
Information regarding the Swiss Financial Services Ombudsman according to the Financial Act on Financial Services (FinSA)
Gutzwiller SA Genève is affiliated with the Swiss Financial Services Ombudsman FINSOM. This Ombudsman’s office guarantees an impartial, specialised and transparent mediation system and handles complaints concerning affiliated companies.
Avenue de la Gare 45
Tel : +41 27 564 04 11
Risk information, product information/key information document
Based on requirements by FinSA and in relation to investment activities of clients from the segment of retail (private) clients, we will provide product information relating to financial instruments as proposed or eventually as executed, as long as such is available.
In the brochure “Risks Involved in Trading Financial Instruments” by SwissBanking, you find information on typical financial services as well as on the characteristics and risks of financial instruments. You may download the brochure from the following link: