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Financial Intermediaries & SRO Membership

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We handle your SRO & KYC set-up

We help you with understanding regulatory requirements, setting up and complying with anti-money laundering processes such as KYC and ongoing monitoring & take care of your SRO (Swiss Self-Regulatory) application.

SRO services

Who is it for

All businesses that fall within the scope of the Swiss Anti-Money Laundering Act (AML) are required to implement know-your-customer (KYC), ongoing monitoring, reporting and freezing procedures. Additionally – if they are not already supervised by FINMA – they need to become a member of a Swiss Self-Regulatory Organization (SRO).

What we provide you with
Regulatory evaluation of your Business model

First, you need to know whether your business is subject to the AML or not. In order to answer that question, we define the regulatory possibilities of your business model in a collaborative two-hour workshop. Our regulatory experts will ask the right questions, place your plans in context with the full regulatory landscape, and conclude with actionable advice and options for your next steps.

Some background information: AML regulation generally applies if your activities include assisting in transferring assets for, or holding assets of, clients or third parties. Especially FinTech and Blockchain business models with connections to e.g. payment instruments, payment systems, lending activities or individual portfolio management are typically subject to the AML and potentially other financial market laws.

Pricing

CHF 3’000 Flat Fee (excl. VAT)

SRO membership application

Once we’ve confirmed your regulatory status, you’ll need to obtain an SRO membership before you’re allowed to start engaging in your business activities.

We will take care of the entire application process for you (see the section below for more details). We have streamlined the process and maintained excellent relationships with the SROs. Thus, you can expect to obtain membership in around 2 to 4 months.

If required, our experts are also available to advise you in designing your AML policy and procedures, speak to software vendors and map regulatory compliance to economic efficiency. 

Pricing

CHF 6’500 flat fee (excl. VAT, excl. SRO application fees)

Ask us for a quote for advice on your AML policies and procedures! 

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Add-ons & other services for your AML/Sanctions compliance needs:  

We design your AML directive and other internal policies, and support you in their efficient implementation by e.g., helping you set up your onboarding and monitoring processes.

You can outsource your AML Officer function to our seasoned experts, who are well-known to SROs.

We perform external controls and reviews on your existing policies and processes, check their robustness and map gaps with the fast-changing regulatory requirements.

We provide ongoing expert support (incl. strategic advice) and project management services for complex matters such as new products with our competitive hourly rates and packages.

We design trainings for your (senior) management and your staff, tailored to your specific needs and based on your existing policies, to make sure that everyone is on top of their AML, sanctions and general financial regulatory compliance duties.

For our KYC solutions, you can also visit the dedicated page of LEXR Finance KYC Center.

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SRO membership application package

Our package covers the entire process from the initial kick-off call up until the final obtainment of your membership.

  1. 1
    Kick-off

    In a free consultation, we’ll jointly discuss your individual case and get to know your business. After that, we will already have a rough understanding of what regulatory requirements will or will not apply and are able to prepare a collaborative workshop.

  2. 2
    Evaluation

    Based on the inputs of our kick-off call, we’ll discuss your business model in light of Swiss financial market regulation, including the AML act. In a two-hour workshop with our experts, you’ll get an overview of the regulatory requirements for your business as well as a comprehensive list of next steps in writing, giving you security moving forward.

  3. 3
    Application drafting

    If based on our evaluation you require and wish to obtain an SRO membership, we will take over the entire process of drafting your application, including:

    (1) Explaining your internal Anti-Money Laundering regulations

    (2) Preparing all necessary documents for your application

    (3) Helping you with the outsourcing of relevant functions

  4. 4
    Submission

    Once we have submitted your application, we will continue to represent you vis-à-vis the SRO. We’ll also accompany you to any meetings with the SRO until you have obtained your SRO membership.

  5. 5
    Completion

    Once you have obtained your membership, we answer your remaining questions before closing the project. Furthermore, we’re happy to continue helping you in the long run with the day-to-day execution of your Anti-Money Laundering duties as part of a new and ongoing project.

How we work

We understand that you want to focus on the business side of things and not get lost in the regulatory jungle. We offer you a hassle-free, proven and flat fee-based way to achieve compliance.

1
Price transparency and predictability

Flat-fee solution with a focus on efficient and digitized processes.

2
Convenience

You choose your communication channel and provide us with insight on your business – we take care of the rest.

3
Speed

Rely on our proven approach to ensure a fast evaluation and application process.

4
Experts

Work with professionals that not only understand the legal requirements but also maintain good relationships with the SROs. Our experts have a solid track-record in acting as AML Officer or Deputy for various SRO members and with accompanying them in their ongoing compliance

5
Additional support

Work with us even after obtaining your membership and profit from competitive rates for a long-term relationship.

About us

We’re a growing team of 30+ legal professionals. Some of our experts include:

  • 1

    As part of our regulatory expert team, Nihat advises customers on financial market regulation matters, with a particular focus on anti-money laundering and FinTech enterprises. He has previously worked at the Swiss Regulator FINMA and has prior experience in white-collar crime litigation.

    Nihat Cingöz, Senior Legal Counsel 

  • 2

    Christian is an entrepreneur and lawyer with a focus on the intersection between technology and law. He regularly speaks, publishes, and advises on blockchain-related topics and is specialized in financial market regulation. 

    Christian Meisser, CEO & Legal Expert 

  • 3

    Florian advises clients in the fields of Blockchain, DLT, Digital Assets, and FinTech, predominantly focusing his practice on financial market regulation and corporate law matters. He also lectures on legal and compliance issues related to Digital Assets, DLT, and DeFi. 

    Florian Prantl, Senior Legal Counsel 

  • 4

    With his expertise in financial market regulation, Max supports corporate clients in their fiat or crypto-related endeavours. Furthermore, he is familiar with the regulatory and AML-related duties of Swiss and European financial institutions and the every-day application of corporate law. 

    Maximilian Krähenbühl, CTO & Legal Expert 

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