SRO licensing and registration

Get registered with an officially recognized SRO via membership:

  • SRO licensing
  • SRO registration
  • Single or dual supervision

A SRO (Self Regulatory Organization) is an organization that exercises a certain degree of regulatory authority over an industry or a profession. The regulatory authority may be applied in addition with government regulations, or it can fill the absence of government oversight and regulation in a certain industry.

Depending on the object of activity of a company, it may be necessary to apply for licensing and registration with an officially recognized SRO. This is usually done via membership

In Switzerland, The Anti – Money Laundering Act states that financial intermediaries can become members of a SRO under civil law. This is a way to ensure compliance with due diligence requirements, as an alternative to the direct supervision made by the Swiss Financial Market Supervisory Authority (FINMA).

Financial intermediaries, who operate on a commercial basis, must either hold a FINMA license or become member of a SRO recognized by FINMA. SRO regulations and amendments are approved by FINMA and they define how the affiliate financial intermediaries implement legal requirements of The Anti – Money Laundering Act.

STAX AG - Treuhand und Steuerberatung is handling all the necessary requirement for clients who need to become members of an officially recognized SRO. We will also help our clients register with a SRO and obtain a license, which is required for legal entities that act as financial intermediaries.