Financial Intermediary Licensing
Businesses that qualify as financial intermediaries require a license for their operations. Operating a business without a license may result in both substantial penalties and significant damage to your reputation.
The application proceeding varies from SRO to SRO, but basically an applicant is required to compile a set of detailed information and documentation on its business, management and organisation. We help you to gather the required information, ascertain compliance with all formal requirements and help you to complete and submit the application in an efficient and timely manner.License is granted at the discretion of the relevant SRO and the process usually takes about 3 weeks from filing the application unless further queries arise during the application process. We cannot guarantee that a business will obtain a license, or that it will continue to be licensed. We will however, if required, advise how problems can be minimised. We will also deal with any miscellaneous correspondence and telephone enquiries received from the SRO in relation to your application.
Price:
The volume and complexity of an application proceeding depends on the nature and the organisation of your business and the relevant SRO at which membership is applied for. Our fees for the completion of an SRO-application proceeding start from CHF 990.How to order:
Please download and complete our order form and place your non-binding order by fax (+41 43 501 07 01) or email (L_hc__ecnailerssiws--redro). Please contact us at +41 43 501 07 00 if you wish to place your order by phone or if you require additional information.A detailed offer will be sent out on receipt of your order for your review and consideration.
