OVERSIGHT & REGULATION
At LAKE, we know that sustainable financial practices can only be created through the adherence to strict professional standards. We maintain close and open relationships with our regulators, who support us in ensuring that our industry always grows in the right direction. We see regulatory standards as a minimum, and always strive to do even better.
SWISS FINANCIAL MARKET SUPERVISORY AUTHORITY (FINMA)
Regulation No. 33298
FINMA is Switzerland’s governmental financial-markets regulator. Its mandate is to supervise banks, insurance companies, exchanges, securities dealers, asset managers, fund management companies, and insurance intermediaries. FINMA is responsible for ensuring that Switzerland’s financial markets function safely and effectively.
ASSOCIATION ROMANDE DES INTERMÉDIAIRES FINANCIERS (ARIF)
Regulation No. 3180
ARIF is a private non-profit association of public utility, whose purpose is to assist in the prevention of and the fight against money laundering and terrorist financing in the Financial Sector. As a responsible asset management company, LAKE is committed to maintaining the highest standards of diligence and compliance in these areas.