VQF Downloads

By-laws / Organisation chart / Regulation on fees

Procedure


Rules of Procedure	pdf VQF Doc-No. 607.01 (209 KB)
Appendix of the Rules of Procedure	VQF Doc-No. 607.02
Rules of Arbitration	pdf VQF Doc-No. 608.01 (320 KB)
Appendix to the Rules of Arbitration	pdf VQF Doc-No. 608.02 (89 KB)
List of arbitrators	pdf VQF Doc-No. 608.03 (95 KB)

Regulations / Rules of conduct

Information leaflets


Information leaflet for the engagement of third parties for the performance of duties of due dilligence and / or as AMLA Special Department	pdf VQF Doc-No. 912.1 (155 KB)
Information leaflet for issuing internal directives	pdf VQF Doc-No. 913.1 (162 KB)
List of Ombudsman according to the FinSA	Link to FDF

Audit concept

Auditors:
Adress list of the accredited external auditors	pdf Document

Training

Joining


SRO-Membership:
Instructions application form SRO-Member natural persons	pdf VQF Doc-No. 801.2 (152 KB)
Application form SRO-Members natural persons	document VQF Doc-No. 901.3 (66 KB)
Declaration of consent for electronic dossier management *(for applications only)*	document VQF Doc-No. 1200.1 (60 KB)

Instructions application form SRO-Member companies	pdf VQF Doc-No. 801.3 (169 KB)
Application form SRO-Member companies	document VQF Doc-No. 901.1 (68 KB)
Declaration of consent for electronic dossier management *(for applications only)*	document VQF Doc-No. 1200.1 (60 KB)
Description of current/planned business activities SRO-Membership	document VQF Doc-No. 901.2 (72 KB)

Changes:


Instructions changes natural persons	pdf VQF Doc-No. 805.1 (141 KB)
Instructions changes companies	pdf VQF Doc-No. 804.1 (141 KB)

! Additional VQF-Documents see "General documents application / changes"

General documents to application / changes:


Information on ownership / shareholding	document VQF Doc-No. 807.1 (61 KB)
VASP-members; Information on ownership / shareholding	document VQF Doc-No. 807.2 (63 KB)
Information about branches, permanent establishments and participations in other companies	document VQF Doc-No. 808.1 (54 KB)
Information about the internal special departement	document VQF Doc-No. 907.1 (63 KB)
Mandate concerning access authorisation	document VQF Doc-No. 908.1 (54 KB)
Personal declaration	document VQF Doc-No. 906.1 (53 KB)

AMLA-Standard forms:


Identification form	document VQF Doc-No. 902.1 (70 KB)
Establishing the identity of the beneficial owner (A)	document VQF Doc-No. 902.9 (49 KB)
Establishing of the controlling person (K)	document VQF Doc-No. 902.11 (54 KB)
Foundations (as well as similiar contructs) (S)	document VQF Doc-No. 902.12 (54 KB)
Declaration for Trust (T)	document VQF Doc-No. 902.13 (61 KB)
Special Clarifications	document VQF Doc-No. 902.14 (55 KB)
Information on life insurance policies (I)	document VQF Doc-No. 902.15 (57 KB)
Risk profile	document VQF Doc-No. 902.4 (78 KB)
The Country list VQF Doc-No. 902.4.1 is in the member section under Download
Customer profile	document VQF Doc-No. 902.5 (57 KB)
List of files relevant to the AMLA (Word format)	document VQF Doc-No. 902.8w (54 KB)
List of files relevant to the AMLA (Excel format)	spreadsheet VQF Doc-No. 902.8e (291 KB)

Non-professional Membership:


Regulations for non-professional membership	pdf VQF Doc-No. 400.2 (241 KB)
Registration for members only	document VQF Doc-No. 400.3 (51 KB)

Passive Membership:


Application form	document VQF Doc-No.100.1 (60 KB)