Step 4: Checking of the licence application and confirmation from the SO
The SO verifies the applicant’s affiliation to its organisation on the basis of the licence application. When verification is complete, the SO provides the portfolio manager or trustee with written confirmation of their affiliation. The SO sends the relevant confirmation document to the applicant via the EHP or by other means.
Step 5: Transmitting the application and SO confirmation to FINMA
Once applicants receive confirmation from the SO, they should send this with the licence application to FINMA via the EHP. FINMA will process the application once it has been formally submitted in full, i.e. including the SO confirmation and enclosures. Portfolio managers and trustees may still be required to send additional information in a subsequent step. Any additional information should be submitted via the EHP.
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