OVERSIGHT
&
REGULATION

INTEGRATED FINANCIAL MANAGEMENT

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 regularlatory standards as a minimum and always strive to do even better.

SWISS FINANCIAL MARKET SUPERVISORY AUTHORITY (FINMA)

Lake Finance International is registered as an Insurance Intermediary with the Swiss Financial Market Supervisory Authority (FINMA)

Registration 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)

Lake Finance International is a member of and regulated by the Association Romande des Intermédiaires Financiers (ARIF).

Member No. 3180

ARIF is a self-regulatory body approved by the Swiss Federal Authority for Financial Market Supervision (FINMA) for the supervision of financial intermediaries referred to in Article 2 para. 3 of the Swiss Federal Law on Combating Money Laundering and the Financing of Terrorism in the Financial Sector (LBA). ARIF is also recognized by FINMA as a professional organization for the establishment of rules of conduct relating to the exercise of the profession of independent asset manager within the meaning of the Swiss Federal Law on collective investment schemes (CISA)