The Swiss Association of Securities Firms main purpose is to protect our member’s interests and to further and improve the regulatory status of securities firms in general. Furthermore, our goal is to promote self-regulation in our industry and improve the securities firms reputation both domestic and abroad.
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Securities firms are financial intermediaries regulated by the Swiss Financial Market Supervisory Authority (FINMA) and are active in securities trading, asset management and investment banking. Legal basis for the regulatory status of being a securities firm is provided by the Federal Stock Exchange Act, enacted in 1997. While most banks also hold the regulatory status of securities firms, the companies affiliated with our association are exclusively securities firm without simultaneous bank status.
Hans-Jörg Baumann is a founding partner, chairman and CEO of Swiss Capital Alternative Investments AG. Swiss Capital Alternative Investments has been a member of our association since its foundation in 2000. In the board, to which Hans-Jörg Baumann belonged from the beginning, he predominantly represents aspects relevant to market and business models. Thus, he has significantly influenced the fate of our association as well as of the regulatory status of securities dealers.
Before becoming independent in 1998, Hans-Jörg Baumann has been working for over 10 years in trading, sales and risk management at UBS, most recently as Head Switzerland Trading & Sales & Risk Management, Equity, Fixed Income, FX and Commodities. He has been on the board of directors of the Swiss Stock Exchange (SIX) for several years. In this position he influenced the transfer from a “open out-cry“ stock exchange towards an electronic exchange.
Pierre Fischer is the CEO of Bovay & Partenaires. In 2016 he joined the board of the SVUE where he primarily represents the securities traders that are active in private banking and act as custodians of their client’s assets.
Pierre Fischer, a Swiss national, grew up and was educated in the United States before studying at the Univerity of McGill in Canada and later at the Wharton School in the United States. After his studies he launched a varied career in Finance in Switzerland where he has been active in Investment Banking, Private Banking, Risk Management and Mergers & Acquisitions. He has held senior roles in General Management including CEO of a universal bank and CEO of a private bank, and has been a member of numerous Boards in diverse areas. In over 30 years he has gained extensive knowledge and experience of the regulatory environment and has acquired experience in crisis management. He is also the founder of 2 start-ups in the financial industry.