By-laws / Organisation chart / Regulation on fees
|
By-laws |
|
|
Organisation chart |
|
| Regulation on fees | pdf VQF Doc-No. 1101.5 (201 KB) |
Procedure
|
Rules of Procedure |
|
|
Appendix of the Rules of Procedure |
|
|
Rules of Arbitration |
|
|
Appendix to the Rules of Arbitration |
|
|
List of arbitrators |
Regulations / Rules of conduct
| SRO: | |
| SRO-Regulation valid from 01.04.2023 | pdf VQF-Doc-No. 400.1.2 (438 KB) |
| SRO-Regulations version of 01.01.2021 | pdf VQF Doc-No. 400.1.2 (667 KB) |
| SRO-Regulations version of 01.07.2020 | pdf VQF Doc-No. 400.1.2 (667 KB) old |
| SRO-Regulations version of 28.09.2015 | VQF Doc-No. 400.1.2 old |
| SRO-Regulations version of 20.11.2012 | pdf VQF Doc-No. 400.1.2 (505 KB) old |
| SRO-Regulations version of 08.07.2009 | document VQF Doc-No. 400.1.2 (110 KB) old |
Information leaflets/VQF-Rundschreiben
| Information leaflet for the engagement of third parties for the performance of duties of due dilligence and / or as AMLA Special Department | pdf VQF Doc-No. 912.1 (155 KB) |
| Information leaflet for issuing internal directives | pdf VQF Doc-No. 913.1 (162 KB) |
| List of Ombudsman according to the FinSA | Link to FDF |
Audit concept
| SRO: | |
| Supervisory Concept | pdf VQF Doc-No. 700.3 (166 KB) |
| Typologylist | pdf VQF Doc-No. 905.1 (183 KB) |
| Auditors: | |
| Adress list of the accredited external auditors | pdf Document (117 KB) |
Training
| SRO-Training concept | pdf VQF Doc-No. 610.1 (148 KB) |
| Seminars | link to seminars |
Joining
| SRO-Membership: | |
| Instructions application form SRO-Member natural persons | pdf VQF Doc-No. 801.2 (130 KB) |
| Application form SRO-Members natural persons | document VQF Doc-No. 901.3 (66 KB) |
| Declaration of consent for electronic dossier management (for applications only) | document VQF Doc-No. 1200.1 (60 KB) |
| Instructions application form SRO-Member companies | pdf VQF Doc-No. 801.3 (142 KB) |
| Application form SRO-Member companies | document VQF Doc-No. 901.1 (68 KB) |
| Declaration of consent for electronic dossier management (for applications only) | document VQF Doc-No. 1200.1 (60 KB) |
| Description of current/planned business activities SRO-Membership | document VQF Doc-No. 901.2 (72 KB) |
Changes:
| Instructions changes natural persons | pdf VQF Doc-No. 805.1 (141 KB) |
| Instructions changes companies | pdf VQF Doc-No. 804.1 (141 KB) |
|
! Additional VQF-Documents see |
General documents to application / changes:
| Information on ownership / shareholding | document VQF Doc-No. 807.1 (61 KB) |
| VASP-members; Information on ownership / shareholding | document VQF Doc-No. 807.2 (63 KB) |
| Information about branches, permanent establishments and participations in other companies | document VQF Doc-No. 808.1 (54 KB) |
| Information about the internal special departement | document VQF Doc-No. 907.1 (63 KB) |
| Mandate concerning access authorisation | document VQF Doc-No. 908.1 (54 KB) |
| Personal declaration | document VQF Doc-No. 906.1 (53 KB) |
AMLA-Standard forms:
| Identification form | document VQF Doc-No. 902.1 (70 KB) |
| Establishing the identity of the beneficial owner (A) | document VQF Doc-No. 902.9 (49 KB) |
| Establishing of the controlling person (K) | document VQF Doc-No. 902.11 (54 KB) |
| Foundations (as well as similiar contructs) (S) | document VQF Doc-No. 902.12 (54 KB) |
| Declaration for Trust (T) | document VQF Doc-No. 902.13 (61 KB) |
| Special Clarifications | document VQF Doc-No. 902.14 (55 KB) |
| Information on life insurance policies (I) | document VQF Doc-No. 902.15 (57 KB) |
| Risk profile | document VQF Doc-No. 902.4 (78 KB) |
| The Country list VQF Doc-No. 902.4.1 is in the member section under Download | |
| Customer profile | document VQF Doc-No. 902.5 (57 KB) |
| List of files relevant to the AMLA (Word format) | document VQF Doc-No. 902.8w (54 KB) |
| List of files relevant to the AMLA (Excel format) | spreadsheet VQF Doc-No. 902.8e (291 KB) |
Non-professional Membership:
| Regulations for non-professional membership | pdf VQF Doc-No. 400.2 (241 KB) |
| Registration for members only | document VQF Doc-No. 400.3 (51 KB) |
Passive Membership:
| Application form | document VQF Doc-No.100.1 (60 KB) |