Financial Services Compliance

Aviolo provides comprehensive regulatory and compliance services to asset managers, trust companies, fund managers, family offices and other small to medium financial intermediaries.

We integrate compliance, risk management and legal functions with a focus on problem solving aspects. By delivering practical solutions that support the actual business, we increase your competitiveness whilst ensuring compliance with all applicable regulatory requirements.

Our philosophy is that the compliance function should support and strengthen your ability to take advantage of new market opportunities. Solutions should be pragmatic. To deliver tangible benefit to our clients, Aviolo cooperates with a network of qualified subject matter experts, including former regulators, lawyers, compliance specialists and others professionals in the fields of regulation, regulatory filings, legal, tax and accounting.

Aviolo provides a wide range of service delivery options, ranging from full-service outsourcings to co-sourcings, project-based engagements and advisory models tailored to tackle specific compliance issues. An in-depth understanding of your needs is fundamental in order to provide services in the manner that works best for your firm and deliver real benefit.

Aviolo supports you directly in monitoring all relevant laws, regulations and obligations, thus mitigating your legal, financial and reputational risks. We analyse company and jurisdiction-specific regulatory requirements, develop compliance tools & systems and implement them in your processes and organizational structures.

Whether you require targeted support in specific areas or an entire service module – our services can be selected and combined according to your needs.

Our services are grouped into four main business lines:

  • SEC compliance services for SEC Registered Investment Advisors
  • Swiss compliance under the 2020 Financial Services Act and the Financial Institutions Act (FinSA and FinIA)
  • Compliance services to Trustees and Trust companies
  • RegTech solutions

Recent articles

  • Newsletter Q2/2021
    For this Q2 quarterly newsletter we want to cover a few of the more important updates and news coming from the SEC as it likely relates to Switzerland.
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  • Newsletter Q1/2021
    The SEC Division of Examinations (formerly OCIE) announced the 2021 Examination priorities on March 3, 2021, including a greater focus on climate related risks, such as business continuity plans in light of intensifying physical risks associated with the climate change.
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  • Swiss Trustees changing roles in the face of new regulations on investment business
    With FINSA and FINIA focusing heavily on client protection, this could pose difficult questions for Trustees surrounding investment performance and investment manager selections.
    October 2020
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  • Organisational requirements for Trustees under FINIA
    FINIA, The Swiss Financial Institutions Act that came into force on the 1st January 2020, places Trustees under prudential regulation in Switzerland for the first time.
    July 2020
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  • Recovery of Foreign Withholding Tax
    Citywire magazine legal brief,
    July 2018
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  • Top Ten U.S. tax forms you need to know
    Article in Citywire magazine,
    November 2016
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Further publications