Sense and purpose of Compliance

13th February 2017

Erika Mesmer, Client Relationship Manager

When we hear the word “Compliance” we generally think about annoying requirements, a lot of reporting and complicated processes. However what is the sense and purpose of compliance? Its aim is to ensure that a company and all its member of staff work compliant with rules and legal and internal guidelines are observed.

Although some regulation might seem useless or complicated, they help us to structure our work processes, identify and minimise risks and in the best case to be more successful.

As asset manager of collective investments IAM is supervised by the FINMA since 2007. To be supervised brings along strict requirements for us. In return it ensures our clients that we do our work not only with good conscience, but that it is officially supervised. An additional guarantee we so can offer our clients.