2025
SEC: Swiss Registrations
The U.S. Securities and Exchange Commission is now resuming the processing of new and pending registration applications from investment advisers based in Switzerland.
June 10, 2025
Newsletter Q2/2025
As everyone knows, in July 2024 eight Swiss SEC Advisors were selected to be examined by the Division of Examinations. To our understanding, it seems that the examinations have now been completed. With FINMA and the SEC having resolved their differences on information transmission under FINMASA, Article 42.
June 2025
2024
Key Compliance Updates for Swiss RIAs (07/2024)
FINMA has notified Swiss SEC-registered investment advisers about upcoming SEC compliance reviews. Our detailed article covers the potential implications and next steps.
2023
Newsletter Q1/2023
We are wishing you a great start to the new year and health, happiness, and prosperity in 2023.
Welcome to our quarterly newsletter which has turned into the newsletter we write when we have time to put something together, we think adds value.
Two thoughts to begin the year…
January 2023
2022
Newsletter Q1/2022
The first quarterly newsletter this year announces the news of our cooperation with Bratschi Law and some SEC News and Swiss Compliance News.
March 2022
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2021
- Newsletter Q3/2021
Welcome to our regular quarterly newsletter covering a few of the more important updates and news coming from the SEC as relating to Switzerland, e.g. on the topic of cybersecurity.
October 2021
Download PDF - Gaps and Overlaps of SEC Regulations versus FIDLEG/FINIG: Are you ready?
Presentation to the Swiss Registered Advisors Association (SRIAA) of Switzerland, 21. September 2021
Presentation compares and contrasts the regulatory regimes of the U.S. and Switzerland, presents elements of FINSA / FINIA SEC RIAs already have covered due to the requirements of the SEC registration and the gaps that need to be filled – actions required.
Review of new Swiss regulatory regime and framework relating directly to asset managers, mapping against the SEC regulatory framework providing overview of commonalities, differences and gaps. Integration of U.S. and Swiss compliance requirements.
September 2021
Download PDF - 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.
June 2021
Download PDF - 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.
March 2021
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2020
- FINIA – Organisational requirements for Trustees
FINIA, The Swiss Financial Institutions Act, which 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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2016
- Top Ten U.S. tax forms you Need to know
Article in Citywire magazine, November 2016
Download PDF - The age of Automatic Information Exchange: Protection and security of Client information
GGi Insider Magazine, May 2016
Download PDF - Pension, Retirement Planning and Saving for Americans in Switzerland
Presentation in Zurich, March 2016
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