Compliance is becoming more and more important

The penalties are becoming harsher

What sort of changes

do FIDLEG and FINIG entail?


Verification and conduct obligations
Documentation
Changes to consulting
Higher costs and severe penalties

Here is the good news:

FinConPro can do most of the work for you!

Would you like to
better understand FIDLEG-compliant consulting?


The consulting process in accordance with the new Financial Services Act (FIDLEG)

Our free e-book about client protection and compliance (in german language)

This e-book explains the complex legal bases and rules of conduct, with practical relevance. Elaborating on these aspects, we explain the detailed consulting process with all the legal requirements, and the penalties for not obeying the laws, which every consultant must comply with in accordance with the new Financial Services Act (FIDLEG). At the end, we explain the other obligations which are necessary for your professional activity, such as:

  • Entry in the advisor register – This link will be activated as soon as the EDF has approved the register of consultants. Thank you for your understanding.
  • Contact to an ombudsman

The Ombudsman’s Office for financial service providers (Ombudstelle für Finanzdienstleister, OFD) we recommended was approved on June 24, 2020.

The register of consultants that we recommended has not yet been approved.

Pending FIDLEG/FINIG matters

Check what you now have to bear in mind

FAQs about FIDLEG/FINIG

All the important questions, summarized for you

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About compliance

Compliance and our work

Compliance will increasingly determine and influence our work in the future. The new FIDLEG has also created a new supervisory regime.

Supervisory organisation – advisor register ombudsman to replace the current concept. It is going to be more and more difficult for consultants to find their way in this construct. A structured way of working within the framework of the law is even more important.

The yearly audits and inspections of their adherence are becoming more and more important.

No respectable consultant wants to jeopardize their career prospects by negligence.

FinConPro offers high consulting security. ​

Necessary proof of education
for registration as a consultant


The IfFP Institute for Financial Planning is one of the market leaders in the training and further development of financial experts in Switzerland. Find out here how you can access the FIDLEG-made-easy package in five simple steps, so that you can start your career as a FIDLEG consultant!