PKF Certifica SA

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FAOA Licenses

PKF Certifica SA is licensed by the Swiss Federal Audit Oversight Authority (FAOA) to conduct supervisory audits and is one of 11 Swiss companied licensed to do so. PKF Certifica SA has been operating in this sector for many years and thus boasts important experience as an audit firm in the financial sector. In particular, thanks to the accreditation it has obtained, PKF Certifica SA can conduct the following audits:

Within the meaning of article 11a paragraph 1 clause c AOO:

  • Supervisory audit for fund management companies, investment funds, SICAVs, limited partnerships for collective investment, SICAFs
  • Supervisory audit for asset managers of collective investment schemes
  • Supervisory audit for representatives of foreign collective investment schemes

Within the meaning of article 2 paragraph 3 of the AMLA:

  • Supervisory audit for financial intermediaries directly subordinated to FINMA (DSFI)

In addition to statutory audits, PKF Certifica SA can also conduct annual audits for the category of distributors(article 13, paragraph 2, clause g of CISA) in compliance with the Guidelines on the Distribution of Collective Investment Schemes issued by the Swiss Funds & Asset Management Association (SFAMA).

Following changes within FINMA, PKF Certifica SA is also waiting to be reconfirmed to practise, by specific appointment of the supervisory authority, as an investigating authority (article 36 LFINMA) in the event of violations of the supervisory law on the part of institutions or natural persons subordinated to FINMA.

Still within the scope of FINMA supervision, PKF Certifica SA also offers consultation in the field of authorisation procedures, acting in the capacity of a consultant for preparing the applications and relevant documents that must be submitted to FINMA in order to obtain one of the required licences.