Our services
Compliance outsourcing
Your entire compliance function as second line of defence.
Learn more →Risk management outsourcing and ICS
Risk management with a fully digital internal control system.
Learn more →FINMA and FMA licensing
Support throughout the procedure with all required templates.
Learn more →Compliance outsourcing Liechtenstein
Compliance and risk management for institutions supervised by the FMA.
Learn more →SRO affiliation and AMLA compliance
Support with the affiliation application for financial intermediaries.
Learn more →AML and compliance training
Practical sessions on site or via e-learning, including a training concept.
Learn more →Additional services
- Anti-money laundering unit: onboarding reviews, remediation projects, project management and reviews, and internal investigations supported by specialised IT tools.
- Sanctions monitoring and screening: ongoing monitoring with up-to-date databases so that you implement changes on time.
- Digital risk management tools: user-friendly tools with templates to identify, monitor and manage risks.
- Policies – design and documentation: compliance policies and templates that implement regulatory requirements in a traceable way.
- Reporting to executive management and the board: periodic reports on compliance and risk management.
- Regulatory audit support: preparation of the regulatory audit and attendance at the closing meeting with the audit firm.
- Proactive regulatory support: early notice of new requirements and support with implementation.
Dedicated licensing pages cover portfolio managers (Art. 17 FinIA), managers of collective assets (Art. 24 FinIA) and asset management companies in Liechtenstein; the client adviser register training offers basic and refresher courses online, start any time.
How does an engagement work?
- 1AnalysisPeak Compliance reviews your current compliance and risk framework with you and defines objectives.
- 2RequirementsPeak Compliance proposes solutions that keep you compliant with legal requirements at all times.
- 3Proposalyou receive an offer with scope, services and transparent price.
- 4Agreementthe agreement can be accepted online; the service is flexible and can be terminated at any time.
- 5OnboardingPeak Compliance implements the processes on site or remotely.
- ✓Focus on your core businessPeak Compliance performs the agreed tasks while you concentrate on your clients.
Legal basis
Portfolio managers must have adequate risk management and effective internal control; these tasks may be delegated to a qualified external body (Art. 21 FinIA). Financial intermediaries must also ensure adequate staff training (Art. 8 AMLA). The details for each area are set out on the respective service pages.
Structured cooperation
- Clearly defined scope of services
- Regular reports to management and the board
- Flexible and terminable at any time
- Onboarding on site or remotely
Scope
Peak Compliance takes over defined functions and tasks at a fixed price. Peak Compliance takes over the entire second line of defence; the board and executive management receive regular reports and keep a clear overview at all times. Licences are granted by FINMA or the FMA; portfolio managers are supervised on an ongoing basis by a supervisory organisation and audited by an audit firm.
Why Peak Compliance
- Focus on portfolio managers, managers of collective assets and family offices in Switzerland and Liechtenstein
- Mandates with portfolio managers supervised by FINMA and the FMA, cooperation with the supervisory organisations AOOS and OSFINcontrol, experience with licensing procedures before FINMA and the FMA
- Founded in Zurich; team and co-founders under About us
- Comparing providers? See the guide to choosing a compliance outsourcing provider
Talk to Peak Compliance about your requirements: book a free initial consultation via the contact page.
Client adviser register training
For client advisers who register in the Swiss client adviser register, Peak Compliance also offers the basic training (CHF 295) and the refresher (CHF 195) online; the courses are on the list of training providers of BX Swiss AG and listed by RegFix. Details and booking: Swiss client adviser register – online training.
At a glance
| Who it is for | Independent portfolio managers, managers of collective assets, family offices, other financial intermediaries and client advisers |
| What | Compliance and risk management function (second line of defence), licensing, AML, training |
| Where | Switzerland and Liechtenstein; registered office in Zurich |
| How | The entire second line of defence; on site and remote |
| Pricing | Outsourcing: monthly fixed price after a needs assessment; licensing: fixed price after needs assessment; register training: fixed online price |
Frequently asked questions
Which compliance services does Peak Compliance AG provide?
Peak Compliance AG, based in Zurich, takes over the compliance and risk management function of portfolio managers, managers of collective assets and family offices as their second line of defence. It runs the anti-money laundering unit, supports FINMA and FMA licensing procedures and SRO affiliation applications, and provides AML and compliance training on site or via e-learning. It also offers online training for the Swiss client adviser register.
What does compliance & risk outsourcing in Switzerland cover?
Compliance & risk outsourcing in Switzerland covers, at Peak Compliance, the entire compliance function and risk management with a fully digital internal control system, that is, the whole second line of defence. The board and executive management receive regular reports and keep a clear overview at all times. Outsourcing is offered at a monthly fixed price after a needs assessment, on site and remotely.
Does Peak Compliance offer compliance outsourcing in Liechtenstein?
Yes. All services of Peak Compliance focus on Switzerland and Liechtenstein. Compliance outsourcing Liechtenstein covers compliance and risk management for institutions supervised by the FMA, and Peak Compliance also supports the licensing of asset management companies in Liechtenstein. Peak Compliance holds mandates with portfolio managers supervised by FINMA and the FMA.
Which additional services complement compliance outsourcing?
Compliance outsourcing at Peak Compliance is complemented by the anti-money laundering unit with onboarding reviews and remediation projects, sanctions monitoring and screening with up-to-date databases, digital risk management tools, the design and documentation of policies, periodic reporting to executive management and the board, support with the regulatory audit up to the closing meeting, and proactive notice of new regulatory requirements.
How does an engagement with Peak Compliance start?
An engagement with Peak Compliance starts with a free initial consultation. Peak Compliance then reviews your current compliance and risk framework with you, proposes solutions and submits an offer with scope, services and transparent price; licensing projects are offered at a fixed price after a needs assessment. The agreement can be accepted online, is flexible and can be terminated at any time.
