Financial Services

Audit & Consulting in Finance

The high degree of regulation and increasing complexity of the banking and financial services sector has led to soaring demand for professional consulting services. Our qualified staff are highly conversant with the complex interplay of modern finance issues and combine skills with creativity in the service of:

  • Banks
  • Securities firms
  • Asset managers and trustees
  • Managers of collective assets
  • Fund management companies
  • Insurances
  • Casinos
  • FinTech

Our services

Stationary audits

  • Ordinary and limited audits of all types of financial intermediaries
  • Audits of collective investment schemes, investment companies, SICAVs and LPCI
  • Audits according to national (RelV-FINMA, Swiss GAAP FER) and international audit standards (IFRS-GAAP, US-GAAP and IFRS SME)
  • Audits according to the Persons and Companies Act (PGR) in the Principality of Liechtenstein

Special legislation audits

  • Regulatory audits pursuant to the Banking Act, FinIA, FinSA, FinMIA, Collective Investment Schemes Act, Anti-Money-Laundering Act and Casino Act
  • License application audits for all types of financial services providers
  • Valuation and merger audits for financial services providers Special mandates relating to stock exchange law (public takeover offers, fairness opinions)
  • Audit QI/FATCA

AML audit service

  • Audit of compliance with AML regulations and professional standards of self-regulatory organisations (AOOS, ARIF, OAD FCT, PolyReg, SVIG, SLV, SRO-SVV, SRO-Treuhand Suisse, VQF etc.) and supervisory organisations (AOOS, FINcontrol, OSIF, OSFIN)

Audit of non-financial data

  • Audit of sustainability information and other information along defined standards

Other external audit services

  • Agreed upon procedure audit mandates according to ISAE or PS standards
  • Investigating agent and liquidation mandates
  • Independent/court-appointed expert opinions/mandates
  • Audits of outsourcing providers (for banks)

Contact us

Key contacts

Susanne De Zordi

Susanne De Zordi

Head of Financial Services, Zurich - Partner
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Erik Dommach

Erik Dommach

Head of Audit FS German-speaking Switzerland, Zurich - Partner
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Tobias Schüle

Tobias Schüle

Head of Asset Management German-speaking Switzerland, Zurich - Partner
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