Your members. Your supervision. One audit trail.

Member register

All affiliated financial intermediaries in one place - with status, risk class, audit cycle and next audit date.

• Status from applicant to member to resigned, every change logged
• Risk classes with their own audit cycle, e.g. 12, 24 or 36 months
• Import of existing member lists
• Supervisory records are kept after a member leaves (retention duty)

Invitation & member portal

Members get free access and see their status, their dates and their documents.

• Invitation by email, in German or English
• Existing ComplySwiss customers are linked by UID - only their administrator can accept
• Members upload documents directly in the portal
• Member and auditor logins never count toward the tier limit

Audit planning & external auditors

Due and overdue audits at a glance - external AML auditors work directly in the system.

• List of audits due in the next 90 days and of overdue audits
• Auditors only see the members assigned to them
• Upload the audit report directly; the next audit date is calculated automatically

Findings & reminders

Every finding has a deadline, a responsible person and a clear status until it is closed.

• Status: open → in progress → resolved (with evidence) → closed
• Only SRO staff can close a finding
• Automatic email reminders before audit dates and deadlines

Annual self-declaration

The yearly questionnaire is completed, submitted and reviewed online - instead of by PDF and email.

• One questionnaire per year, configurable by the SRO
• Overview of who has submitted and who is still outstanding
• Queries and approval with a complete history

Privacy, separation & audit trail

The SRO only sees its supervision area - never the KYC client files of its members.

• Strict separation between SROs and between the SRO and its members
• Every action in the audit trail, two-factor authentication for all SRO staff
• Data hosted in Switzerland