Request a quote - Financial service providers

Basic information

Comprehensive insurance protection for financial service providers and financial institutions

Please answer the following questions so that we can provide a tailored quote for your professional activity as asset manager, trustee or financial service provider under the Financial Services Act (FinSA).

Professional liability 1/3

Total revenue  > 50%

Shared management

Permits

According to the information you provided, you engage in the following activities requiring a permit:

  • Fund management company
  • Trustee
  • Asset manager
  • Representative of foreign collective investment schemes
  • Insurance broker 
  • Manager of collective assets
  • Investment (securities) firm
  • Financial service providers with entry in client advisor register
  • Other

Registration agencies / supervisory authorities

Which registration office or supervisory organization are you registered / affiliated with?

Self-regulating organization

Money-laundering regulations and professional codes of conduct

Professional liability 2/3

Your activities as a percentage (%) of sales

For the activities listed, please indicate the percentage share of the total activity (revenue):
(Total 100%)

Financial services under FinSA

Other services (outside FinSA, FinIA, CISA, or ISA)

Special asset classes

Professional liability 3/3

Portfolio management system

Digital platform

Comments

Directors and officers liability

Company’s legal form

Start-up

Please submit annual financial statements or start-up accounts and business plan.

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Stock market

Shareholders

Questions on financial situation

The questions below relate to the applicant's consolidated financial statements for the last financial year. In the absence of any consolidated financial statements, these questions relate to the aggregated individual financial statements of the applicant and of all subsidiaries.

Please submit your consolidated financial statements (balance sheet, income statement, notes and auditor's attestation) for the last financial year, or – if no consolidated financial statements are available – all individual financial statements from the subsidiaries.
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Comments

Fidelity insurance

Extracts from the criminal register

Backup

Monitoring of bank accounts

Lists of payments

Joint signature

Business crime training

Job descriptions

Comments

Premium calculation basis

Revenue

Total revenue for the last fiscal year for all companies to be insured:

Number of specialist staff

Specialist staff means owners, co-owners and employees who, because of their training and experience, work largely autonomously, irrespective of whether they have signing authority or not.

Other employees

How many other staff (excluding interns and apprentices) are employed by the companies to be insured? 

Assets under management

Please give a breakdown of assets under management (AuM) on the basis of the clients' residence (in CHF million).

General questions

Professional association

Financial situation

Please enclose with the questionnaire the annual financial statements, including the balance sheet, income statement, notes and – if available – the auditor's attestation for the last financial year.
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Claims / known circumstances

Proceedings before authorities

Other companies

Is the insurance to be extended to other legally independent companies that belong to the applicant's group of companies and that are located in Switzerland or in the Principality of Liechtenstein? 

Companies outside Switzerland and the Principality of Liechtenstein are generally not insurable. Please consult your advisor if required.

Sums insured / Deductible

Amount of sum insured

How high should your sum insured be?

The statutory requirements for the amount of the sum insured can be found here

Expanded coverage 

Deductible

How high should your deductible be?

Optional extended coverage

US / Canada

Liability claims that are judged in accordance with US or Canadian federal or state law.

Legal protection

Legal protection in criminal, regulatory and administrative proceedings for an insured business:

Coordinates

Contact person

Enclosure

Please submit the following additional information:

  • Resume from at least one manager who performs the financial service to be insured

 

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Advisor

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