Operating Swiss Broker-Dealer Company for Sale

FINMA REGISTERED, Operating Swiss Broker-Dealer, Asset & Collective Investment Scheme Management Company for sale. A rare opportunity, fully licensed, active & operating Asset Management Business, with offices, personnel, bank accts. assets under management & an active revenue stream.

FINMA Licensed (licensed issued directly by FINMA – Financial Market Supervisory Authority in Switzerland), holding an active and valid FinIA and CISA (LPCC) Licenses (Securities Broker-Dealer, Asset & Collective Investment Scheme Management Licenses; highest tier of Licensing available in Switzerland)
The Asset Management Firm, incorporated in 2004 at the heart of Geneva’s financial district, with offices at the illustrious Rue du Rhône, operating personnel and significant portfolio of AUM (Assets under Management) is a rare opportunity to acquire an existing and operating, well-established Swiss Broker-Dealer, Asset & Fund Management Business with various clients (including some high-profile ones) and an active revenue stream.

Key Feature of the Broker-Dealer, Asset & Fund Management Company
• Asking Price: To be disclosed upon presentation of the buyer’s credentials and signing of an NDA
• Established: in early 2000’s (some 20 years market experience)
• Legal Domicile: Geneva, Switzerland (possibility of opening branches across Switzerland)
• Well established with the local and international community, renowned for its quality and meticulous services.
• Type of License Held: FINMA Registered and Valid FinIA and CISA (LPCC) Licenses (Securities Broker-Dealer, Asset & Collective Investment Scheme Management License) Highest License tier in Switzerland, issued directly by FINMA.
• Assets under Management: ˃ CHF 120,000,000,-
• Active monthly revenue stream (including some high-profile clients)
• Audited Annually by a Big 4 Audit Firm (annual reports filed periodically with the authorities)
• Multiples operating, management, broker and custody accounts held with Switzerland’s top tier banks
• Asset Management & Commission Agreements with numerous top tier Swiss banks in place
• No debt, liabilities or encumbrances of any kind, no pending lawsuits, all tax returns filed and paid to date (comes with a BIG 4 Auditor Guaranty)
• Foreign purchaser and shareholders are allowed (upon initial KYC, vetting and approval)
• Possibility of converting into a fully-fledged Tier 1 or 2 Swiss Bank

Purchaser requirements: Financial Capabilities in form of a Proof of funds, Passport & CV of the new Beneficiary, NDA.

Authorizations held
a. carry out credit transactions (in particular in relation to consumer loans or mortgages, factoring, commercial financing or financial leasing);
b. provide services related to payment transactions, in particular by carrying out electronic transfers on behalf of third-party clients, manage means of payment such as credit cards and cheques, etc.
c. trade on their own account or on the account of third parties in banknotes and coins, money market instruments, forex instruments, precious metals, commodities, securities (stocks and shares and value rights) as well as their derivatives and all types of financial electronic assets
d. manage assets on third party accounts
e. make direct investments and provide investment advisory services
f. hold securities or manage securities deposits.
g. ...and more. Please get in touch for additional details.