Regulatory Status
Global Strategic Advisory Group AG is an independent asset manager (Vermögensverwalter) authorised and supervised under the Swiss Financial Institutions Act (FinIA / FINIG). We are subject to prudential supervision by AOOS – Schweizerische Aktiengesellschaft für Aufsicht, which is itself recognised and overseen by the Swiss Financial Market Supervisory Authority (FINMA).
Applicable Law and Regulation
Our activities are governed by the following key legal frameworks:
- Financial Institutions Act (FinIA / FINIG): Governing the authorisation and conduct of independent asset managers in Switzerland
- Financial Services Act (FinSA / FIDLEG): Governing the provision of financial services and client protection requirements
- Anti-Money Laundering Act (AMLA / GwG): Governing our obligations to prevent money laundering and terrorist financing
- Swiss Data Protection Act (nDSG): Governing the collection, processing and protection of personal data
Our Supervisory Organisation
Global Strategic Advisory Group AG is a member of and supervised by:
AOOS – Schweizerische Aktiengesellschaft für Aufsicht
Clausiusstrasse 50
8006 Zurich, Switzerland
For further information on the supervisory framework for independent asset managers in Switzerland, please visit the FINMA website under www.finma.ch.
Regulatory Audit Firm
The statutory audit of Global Strategic Advisory Group AG is conducted by:
Grant Thornton AG
Claridenstrasse 35, P.O. Box
CH-8027 Zurich, Switzerland
Grant Thornton AG acts as the appointed audit firm (Prüfgesellschaft) under the Financial Institutions Act (FinIA), mandated by AOOS to carry out regulatory audits of Global Strategic Advisory Group AG.
Ombudsman
Global Strategic Advisory Group AG is affiliated with the Finanzombudsstelle Schweiz (FINOS), Talstrasse 20, CH-8001 Zurich (www.finos.ch), as its recognised ombudsman’s office pursuant to FinSA Art. 74.
Clients who wish to initiate mediation proceedings may contact FINOS directly at any time, free of charge.
Affiliation with a Self-Regulatory Organisation (SRO)
For the purposes of compliance with the Anti-Money Laundering Act, Global Strategic Advisory Group AG is affiliated with AOOS – Schweizerische Aktiengesellschaft für Aufsicht, Clausiusstrasse 50, 8006 Zurich.