Finance and regulatory duties · France / Switzerland
Asset manager: prepare the authorisation dossier
France and Switzerland define regulated asset-management activities through different frameworks. Identify services, instruments, clients and organisation before choosing the relevant authorisation route. A French management-company status and Swiss portfolio-manager status are not interchangeable. Incorporating a business does not establish permission to provide regulated services, and the dossier grants neither authorisation nor investment advice.
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France: why identify instruments and clients ?
Your question concerns “Asset manager: prepare the authorisation dossier”. Which document should we examine, and does your matter concern France or Switzerland?
3 free questions at signup. Avoid names and sensitive information.
France: which asset-management services should be described ?
Separate collective management, mandates and actual services rather than relying on a title.
France: why identify instruments and clients ?
They inform the regulatory perimeter and relevant evidence.
Which elements belong together before the next step?
| Preparation question | Point to verify |
|---|---|
| France: which asset-management services should be described ? | Separate collective management, mandates and actual services rather than relying on a title. |
| France: why identify instruments and clients ? | They inform the regulatory perimeter and relevant evidence. |
| France: what connects the activity programme and resources ? | Link services, procedures and actual human or technical means. |
| France: does company registration authorise management activity ? | No. Incorporation and financial authorisation are different steps. |
cmf : art. L532-9LEGISCTA000006123943Ordonnance sur les établissements financiers / FINIV / OIsFiLoi sur les établissements financiers / FINIG / LIsFi
France: what connects the activity programme and resources ?
Link services, procedures and actual human or technical means.
France: does company registration authorise management activity ?
No. Incorporation and financial authorisation are different steps.
Switzerland: which manager status should be examined ?
Identify the actual portfolio-management activity under Swiss rules instead of translating French status.
Ordonnance sur les établissements financiers / FINIV / OIsFiLoi sur les établissements financiers / FINIG / LIsFi
Which official provision helps explain this situation?
Separate collective management, mandates and actual services rather than relying on a title.
Switzerland: why record supervisory arrangements ?
FINMA guidance distinguishes authorisation and ongoing supervision in the relevant framework.
Ordonnance sur les établissements financiers / FINIV / OIsFiLoi sur les établissements financiers / FINIG / LIsFi
Switzerland: which governance evidence belongs in the dossier ?
Connect responsibilities, competence and controls to actual organisation.
Ordonnance sur les établissements financiers / FINIV / OIsFiLoi sur les établissements financiers / FINIG / LIsFi
How can you connect the facts and records in your file?
Complete the file references. The initial values illustrate a fictional case; they are not observed product results.
Fictional example · Activity perimeter and organisation dossier
- Activity
- Service to classify
- Clients
- Documented category
- Organisation
- Defined responsibilities
- Resources
- Records to examine
This worksheet organises records; it does not establish admissibility, entitlement or a procedural outcome.
Switzerland: does the organiser grant a licence ?
No. It maps activity and evidence without authorisation or investment advice.
Ordonnance sur les établissements financiers / FINIV / OIsFiLoi sur les établissements financiers / FINIG / LIsFi
What other questions arise in this file?
France: why identify instruments and clients ?
They inform the regulatory perimeter and relevant evidence.
cmf : art. L532-9LEGISCTA000006123943Ordonnance sur les établissements financiers / FINIV / OIsFiLoi sur les établissements financiers / FINIG / LIsFi
France: does company registration authorise management activity ?
No. Incorporation and financial authorisation are different steps.
cmf : art. L532-9LEGISCTA000006123943Ordonnance sur les établissements financiers / FINIV / OIsFiLoi sur les établissements financiers / FINIG / LIsFi
Switzerland: why record supervisory arrangements ?
FINMA guidance distinguishes authorisation and ongoing supervision in the relevant framework.
cmf : art. L532-9LEGISCTA000006123943Ordonnance sur les établissements financiers / FINIV / OIsFiLoi sur les établissements financiers / FINIG / LIsFi
Switzerland: does the organiser grant a licence ?
No. It maps activity and evidence without authorisation or investment advice.
cmf : art. L532-9LEGISCTA000006123943Ordonnance sur les établissements financiers / FINIV / OIsFiLoi sur les établissements financiers / FINIG / LIsFi
Which official references should you consult?
- cmf : art. L532-9legifrance.gouv.fr
- LEGISCTA000006123943legifrance.gouv.fr
- Ordonnance sur les établissements financiers / FINIV / OIsFifedlex.admin.ch
- Loi sur les établissements financiers / FINIG / LIsFifedlex.admin.ch
Texts cited last checked: 2 November 2026