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Association Romande des Intermédiaires Financiers

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Menu
  • News
    • News 2022
    • Records
      • News 2021
      • News 2020
      • News 2019
      • News 2018
      • News 2017
    • Pressroom
  • SRO ARIF
    • Who are we?
    • Organisation
    • Secrétariat
    • Members list
  • SWISS REGISTER OF ADVISORS
    • What is the Swiss Register of client advisers?
    • User manual
    • Terms, conditions and fees
    • Renewal
    • FAQ
    • Knowledges, experience and trainings
    • Ombudsman
    • Application platform
    • Search the register
  • Information
    • MLA FAQ
    • Newsletter
    • Annual reports
    • Statement
    • Warning List
    • Legislation
    • Links
  • Documents
    • MLA Documents
    • Register Documents
  • Training
    • Training
    • MLA Training
    • FinSA Training
    • AMLA/FINSA/FINIA Training
    • Auditor Training
    • My Account
  • MLA Audit
    • Approved compliance auditors
    • Agreement for MLA auditors
    • Working papers
  • Contact
  • English

MLA Documents

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  2. MLA Documents

Articles of Association
Articles of Association

Regulations and Directives
Self-regulation rules
Directive 1 – Application form
Checklist relating the the Internal Directives
Directives 2 to 13 (Format ZIP)
Directive 14 – Code of Deontology
Application for affiliation to the Code of Deontology
Questionnaire – Asset managers (Format PDF)

Other regulations
Regulations concerning membership and fees received by ARIF (version 2020)
Scale of charges of subscriptions and fees
Price list

Mutation notification
Mutation notification

Other documents
Acceptance of the mandate as an MLA Auditor
Application for authorization for a three-yearly MLA audit
Opening of relationship form (format Word)
Specimen for a standing delegation contract to an auxiliary (format Word)
Example of an asset management contract (Format ZIP) (currently revised)
Example of report and confirmation of accuracy (currently revised)
Form T
Form S
Declaration of opting-out
Example of a qualified investor’s contractual clause
Note on interpretation : Identification of the contracting party and the beneficial owner

Other documents non-related to MLA
Shareholder register of the company XY SA
Register of registered shares of the company XY SA
Register of ownership units of the limited-liability company XY
List of BOs of the Sàrl XY
List of BOs (registered shares) of the company XY SA
List of BOs (bearer shares) of the company XY SA
Notification form for the purchase of bearer shares
Beneficial owner (BO) notification form

FORMS

  • Mutation notification (members)
  • Questionnaire GFI
  • Application for submission to the CoD
  • Opening of relationship form
  • Form T
  • Suspicious activity report
  • Acceptance of the mandate as MLA auditor
  • Application for authorization for a three-yearly MLA audit
  • Agreement form for new auditors
  • Subscription to courses

DOCUMENTS

  • Articles of Association
  • Regulations SRO
  • Directive 1 – Application form
  • Directives 2 to 13
  • Directive 14 – Code of deontology/CoD
  • Price list
  • Example of asset management contract
  • Checklist internal directives
  • Delegation contract
  • Training schedule

LINKS

E-learning

  • FINMA
  • Federal Department of Finance (FDF)
  • Money Laundering Reporting Office (MROS)
  • Financial Action Task Force (FATF)
  • +41 22 310 07 35
  • +41 22 310 07 39
  • info@arif.ch

A.R.I.F.
Rue de Rive 8
Case postale 3178
1211 Genève 3

OAR reconnu par la FINMA / Von der FINMA annerkante SRO
OAD riconosciuto dalla FINMA / SRO recognised by FINMA

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