FinSA Art. 15 - Documentation

Einleitung zur Rechtsnorm FinSA:



Art. 15 FinSA from 2024

Art. 15 Financial Services Act (FinSA) drucken

Art. 15 Documentation and Rendering of Account Documentation

1 Financial service providers shall document in an appropriate manner:

  • a. the financial services agreed with clients and the information collected about them;
  • b. the notification described in Article 13 paragraph 2 or the fact that they advised the clients in accordance with Article 14 against availing of the service;
  • c. the financial services provided for clients.

    • 2 When providing investment advice, they shall also document clients'" needs and the grounds for each recommendation leading to the acquisition or disposal of a financial instrument.

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