Documentation gap
Without a clean audit trail per employee and module, compliance officers have to prove manually during an audit who completed what and when – usually with Excel lists that are already out of date by the time the audit comes around.
VQF · VSV · ASG
AMLA training for SRO-regulated financial intermediaries
What SRO-regulated financial intermediaries need
The legal basis for SRO members – whether VQF, VSV or ASG – is the AMLA and the AMLO-FINMA. Our training is built on exactly this framework: the AMLA and AMLO-FINMA as a consistent reference, without bank-specific ballast that is irrelevant to your business.
What this means in practice: your employees learn the obligations that actually matter to independent asset managers, fiduciaries and family offices – from identifying the contracting party and establishing the beneficial owner to the documentation requirements your SRO may request during an audit.
Focus on SROs
Focus on SROs
Financial intermediaries under a Swiss self-regulatory organisation – whether VQF, VSV or ASG – have the same statutory training obligation under the AMLA and AMLO-FINMA as banks. The key difference: as an SRO-regulated firm, you rarely have an in-house compliance department that designs, updates and tracks a training programme. Nor do you need one – if the infrastructure already exists.
FinReg Swiss is a specialised e-learning platform consistently geared to SRO-regulated non-bank intermediaries. No generic EU material – only what actually applies to your regulatory framework.
Generic training does not cover the specific AMLA and AMLO-FINMA obligations that are relevant to SRO-regulated financial intermediaries.
Two concrete consequences in practice
Content gap
Training content based on EU anti-money laundering law or generic Swiss material does not cover specific obligations such as the qualified identification of the contracting party or the documentation requirements for higher risks – even though that is exactly what is audited.
Course content
6 modules – no topic left out.
Each module: approx. 15–20 minutes, video-based, with a knowledge test and an automatic certificate.
1
Module 1
Introduction to Anti-Money Laundering
A solid introduction to the fundamentals of combating money laundering. Learn the legal framework and the key concepts that are essential for day-to-day practice in the Swiss financial sector.
In this module, you'll learn:
- Fundamentals of money laundering in Switzerland
- Legal framework (AMLA, FINMA)
- Stages of money laundering
- Practical case studies from Switzerland
2
Module 2
Identification of the Contracting Party
Learn how to identify contracting parties correctly and in a legally sound manner. From document verification to ongoing monitoring – all key aspects of customer identification.
In this module, you'll learn:
- Identification duty under Art. 3 AMLA (Know Your Customer)
- Source of Wealth (SoW) vs. Source of Funds (SoF)
- Accepted documents
- Face-to-face vs. non-face-to-face identification
3
Module 3
Identification of the Beneficial Owner
Explore the complex world of beneficial ownership. Learn how to identify and document the actual controlling persons – a key element in the fight against money laundering.
In this module, you'll learn:
- Establishing the beneficial owner of natural persons and legal entities
- The 25% threshold and how to apply it
- Information required for different legal structures
- Re-identification in case of doubt
4
Module 4
Enhanced Due Diligence
Deepen your understanding of higher risks in financial services. From PEPs to complex structures – understand when additional clarifications are required and how to carry them out.
In this module, you'll learn:
- Politically exposed persons (PEPs): criteria and categories
- Enhanced due diligence and annual review
- Higher-risk business relationships and transactions
- Plausibility checks: origin, purpose and background of payments
5
Module 5
Documentation Obligations
Learn the essential requirements for legally compliant documentation. Find out how to document your clarifications and decisions in a traceable, SRO-compliant way.
In this module, you'll learn:
- Creating, organising and retaining documents
- 10-year retention obligation under the AMLA
- Transparency for SRO audits (zero tolerance)
- Accessibility and labelling for third parties
6
Module 6
Digital Assets
Dive into the world of digital assets. Find out which particular challenges cryptocurrencies and other digital assets pose for anti-money laundering.
In this module, you'll learn:
- Fiat money vs. cryptocurrencies (Bitcoin, Ethereum)
- Regulated vs. unregulated exchanges
- Coin mixers and obfuscation methods
- Risk assessment for crypto transactions
Automation
Automatically compliant – even with a small team
For SRO-regulated firms with 3 to 50 employees, the biggest operational pain point is not the training budget – it is the time a compliance officer has to spend managing evidence, sending reminders and creating reports.
FinReg Swiss automates exactly that: monitoring, reminders, progress tracking and a compliance report for SRO audits – all available at the push of a button. No IT project, no implementation phase, live within 8 hours of receiving your employee list.
Matching pricing tier: View full pricing
FAQ
FAQ for SRO-regulated financial intermediaries
Does the training meet the requirements of my SRO – whether VQF, VSV, ASG, PolyReg, ARIF or SRO-Treuhand|Suisse?
Yes. The SRO version has deliberately been designed for all major Swiss SROs and refers to the AMLA and the AMLO-FINMA as the applicable framework – without VQF-, VSV- or ASG-specific deviations that do not apply to members of other SROs.
FinReg Swiss training records have already been accepted as evidence in a VQF audit.
Does the training also cover the new transparency register (TJPG)?
Yes. Module 3 covers the TJPG and the new documentation obligations that have applied since 1 October 2026.
How big does our team need to be?
There is no minimum.
Do our employees receive a certificate?
Yes. Every completion automatically generates a personalised certificate – directly available to employees and compliance officers.
Is the training also available in English?
Yes, both German and English are included in the price. Employees choose their language themselves.
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