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Compliance Corner: SEC Resumes Swiss Advisors' Registration Processing
Editorial Staff
11 June 2025
Securities and Exchange Commission, FINMA The SEC’s step, this publication understands, comes after SEC examinations of Swiss SEC-registered RIAs last year where delivering the requested data was mandatory for the US regulator. "This move reopens the door for Swiss firms to serve US-domiciled clients with the global diversification, stability, and high-touch service that define Swiss-based investment management, reinforcing the country’s position as a trusted hub for international investors," she said. Liebgott's publications include AW Switzerland, AW United Kingdom, AW Asia Pacific|Middle East.
The US time that we resume this process,” SEC Chairman Paul S Atkins, said.
“Longstanding interest from foreign investment advisors in registration demonstrates the value of the US regulatory framework, and we look forward to expanding access to US capital markets. I thank my FINMA counterparts for their collaboration and welcome their actions to make this possible.”
Anne Liebgott, founder of wealth management, private banking and other services for US, Canadian and other clients, praised the SEC announcement: "The SEC’s decision to resume the registration process for Swiss-based investment managers is a welcome development. At a time when the US appears to be leaning into a more protectionist posture, it’s encouraging to see a clear signal that cross-border collaboration is still valued – particularly in wealth management.