How We Act in Today’s Regulatory Environment

As an asset manager with our offices in Switzerland and servicing clients in and from the US, we work within the regulatory framework of both Switzerland and the US. In particular, we comply with the regulations of the following:

Securities and Exchange Commission (SEC)

The SEC was established in 1934 following the 1929 stock market crash and the Great Depression and regulates those who provide financial services to US persons, providing US investors with consumer protection.

The Investment Management Division of the SEC administers the Investment Advisers Act of 1940, which requires investment advisers to register with the SEC, provide public disclosures (Form ADV) and submit to SEC inspections.

Kaiser Partner Financial Advisors Ltd. is registered with the SEC and as such provides financial services to our US clients, including meeting them in the US to discuss their investments.

Swiss Financial Market Supervisory Authority (FINMA)

Kaiser Partner Financial Advisors is subject to FINMA’s supervision under the Anti-Money Laundering Act. 

Foreign Account Tax Compliance Act (FATCA)

Whilst FATCA has not come in force yet, it will have a significant impact on the ability of US authorities such as the Internal Revenue Service (IRS) and the SEC to extend their reach beyond US borders and enforce their regulations.

We are preparing to register as a participating Foreign Financial Institution (FFI) and to comply with FATCA regulations.

Swiss Association of Asset Managers (SAAM)

Kaiser Partner Financial Advisors is an active member of SAAM, the leading industry association of independent asset managers in Switzerland and a self-regulatory organization (SRO), which enjoys official recognition by FINMA.

Website of SAAM

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