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Notification duty

Notification Duties

The registration in the Client Advisor Register is valid for two years. An application for renewal must be submitted no later than before the expiry of this period to ensure that the registration can be renewed without interruption.

During the period of registration, client advisors are subject to the reporting obligations set out in Article 41 of the Swiss Financial Services Ordinance (Finanzdienstleistungsverordnung, FinSO).

The following changes must be reported to the Registration Office within 14 days:

  1. Change of name

    → Please submit a Change Request via the online platform.

  2. Change of the name or address of the financial service provider for which you work

    → If this concerns the same financial service provider, you may submit a Change Request.

    → If you change employers, you must submit an application for a change of employer. Further information is available on this page under Change of Employer.

  3. Change of your function and/or position within the organisation

    → Please submit a Change Request via the online platform.

  4. Change to your fields of activity pursuant to Article 3(c) FinSA

    → Please submit a Change Request via the online platform. If additional fields of activity are added, you must provide evidence that you possess the required professional knowledge. Further information is available under Required Knowledge.

  5. Completed education and continuing professional development

    → To the extent that such education and continuing professional development is relevant to your registration in the Client Advisor Register or to your activities as a client advisor, please submit a Change Request via the online platform.

  6. Change of Ombudsman Office

    → Please submit a Change Request via the online platform.

  7. Full or partial termination of your professional liability insurance

    → Please submit a Change Request via the online platform and provide evidence of new FinSA-compliant professional liability insurance or equivalent financial security.

  8. Termination of your activities as a client advisor

    → Please submit a Deletion Request via the online platform.

Change of Employer

  1. Seamless change to a new employer as a client advisor (while remaining subject to the registration requirement)

    Please submit a Change of Employer Request via the online platform. Your request must be accompanied by an employer confirmation and evidence of FinSA-compliant professional liability insurance or equivalent financial security. Please also check which ombudsman office your new employer is affiliated with and update this information as necessary.

  2. You do not yet have a new employer?

    Please contact the Registration Office by email at [email protected]. Following prior consultation, your registration may be suspended for a maximum of three months. During the suspension period, your registration remains valid but will not be displayed in the public Client Advisor Register.

    Within this three-month period, you may submit a Change of Employer Request. Once your request has been approved, the suspension will be lifted and your registration in the Client Advisor Register will be reactivated.

    If no Change of Employer Request is submitted within the three-month suspension period, your registration in the Client Advisor Register will be deleted.

In the following cases, please contact the Registration Office without delay:

  • Convictions for criminal offences under the financial market legislation referred to in Article 1 of the Swiss Financial Market Supervision Act (FINMASA) or for offences against property pursuant to Articles 137–172ter of the Swiss Criminal Code. This also applies to comparable convictions or decisions issued by foreign authorities.
  • The imposition of a prohibition on practising under Article 33a FINMASA or a professional ban under Article 33 FINMASA. This also applies to comparable measures or decisions issued by foreign authorities.
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    Seit 2020 führt die BX Swiss AG im Rahmen des schweizerischen Bundesgesetzes über die Finanzdienstleistungen (FIDLEG) eine FINMA zugelassene Prüfstelle für Prospekte und ein Beraterregister.

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    BX Swiss AG
    Talstrasse 70
    CH-8001 Zürich

    +41 31 329 40 55
    [email protected]

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