compliance

Independent asset managers are subjected to the Money Laundering Act. According to the law, they are required to obtain an authorisation from the Swiss Financial Market Supervisory Authority (FINMA) or, alternatively, to become a member of a recognised self-regulatory body (SRO). LMP Finance SA has been affiliated with OAD ASG (Swiss Association of Asset Managers).

Financial intermediaries must comply with the Swiss Code of Conduct. These rules comply with federal regulations and is officially recognised by FINMA.

The Compliance team provides a Due Diligence, client profiling and bank account opening service. These services are a result of a deep focus on regulatory issues related to the rules of business conduct, to the Money Laundering Act and the provision of cross-border services.