Overview
ORCA can generate a report based on the audit requirements for self-regulatory organisations (SROs) by the FINMA, the Swiss financial markets regulator. This report is available as part of the SMART price plan.
How to prepare for the SRO audit
Where to add information in ORCA?
- “Detail View” of the selected entity
- "Details" page: Goals, General Notes, Date of Incorporation
- "Compliance" page: KYC and AML-related checks, compliance-related notes
- "Cashflow" page: Relevant transactions that require proof of funds, etc.
- Wealth Summary: This section provides overall information about the client's source of wealth and assets.
How to produce the SRO report?
- Set perspective on the legal entity you would like to produce the report from
- Click on “Export” on the top right of ORCA
- Select “Download SRO report”
- ORCA will generate a Word file for each section of the SRO report.
- Check if any data is missing, modify it if necessary, and then download the report again. If the time in ORCA is set to "Today," the report will always be generated with the latest information.
Please note that the report is currently only available in German.