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Financial services

PKF Certifica SA is licensed by the Swiss Federal Audit Oversight Authority (FAOA) to conduct supervisory audits and is one of 10 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: Regulatory audits of Fund management companies, Managers of collective assets according to FinIA, SICAVs and SICAFs, Limited partnerships for collective investment, Custodian banks and Representatives of foreign collective investment schemes according to the Federal Act on Collective Investment Schemes of 23 June 2006 (art. 11a para. 1 lit. c AOO)
  • Audits of financial intermediaries affiliated with the Supervisory bodies (SB) and with the main Swiss self-regulatory bodies (SRO) in accordance with the MLA (Money Laundering Act)

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 FINMASA) 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.